-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, A5ecRFb3vMk7YNEih1rLq87uQ1/iOA4PVSAkU9uLrh/81APYWliFIZ9HxdmUK0Th I+XGgX2l3h+QFOFnN46Zng== 0001019687-03-002158.txt : 20031023 0001019687-03-002158.hdr.sgml : 20031023 20031023205126 ACCESSION NUMBER: 0001019687-03-002158 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20031014 FILED AS OF DATE: 20031023 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SWARTZ ERIC S CENTRAL INDEX KEY: 0001244108 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-17085 FILM NUMBER: 03955145 BUSINESS ADDRESS: STREET 1: 14272 FRANKLIN AVE. CITY: TUSTIN STATE: CA ZIP: 92780 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: PEREGRINE PHARMACEUTICALS INC CENTRAL INDEX KEY: 0000704562 STANDARD INDUSTRIAL CLASSIFICATION: IN VITRO & IN VIVO DIAGNOSTIC SUBSTANCES [2835] IRS NUMBER: 953698422 STATE OF INCORPORATION: DE FISCAL YEAR END: 0430 BUSINESS ADDRESS: STREET 1: 14282 FRANKLIN AVE CITY: TUSTIN STATE: CA ZIP: 92780 BUSINESS PHONE: 7145086000 MAIL ADDRESS: STREET 1: 14282 FRANKLIN AVE CITY: TUSTIN STATE: CA ZIP: 92780 FORMER COMPANY: FORMER CONFORMED NAME: TECHNICLONE CORP/DE/ DATE OF NAME CHANGE: 19970924 FORMER COMPANY: FORMER CONFORMED NAME: TECHNICLONE INTERNATIONAL CORP DATE OF NAME CHANGE: 19920703 4 1 edgar.xml PRIMARY DOCUMENT X0201 42003-10-14 0000704562 PEREGRINE PHARMACEUTICALS INC PPHM 0001244108 SWARTZ ERIC S C/O PEREGRINE PHARMACEUTICALS 14272 FRANKLIN AVENUE, SUITE 100 TUSTIN CA 92780 1000Common Stock, $.001 par value1320765DCommon Stock, $.001 par value236000IBy Swartz Ventures, Inc.Non-Qualified Stock Option (right to buy)2.482003-10-144A0150000A2013-10-13Common Stock150000350000DNon-Qualified Stock Option (right to buy)2.202003-10-214A0350000A2013-10-20Common Stock350000700000DWarrants to purchase common stock (right to buy)Common Stock551828DWarrants to purchase common stock (right to buy)Common Stock419750IBy Swartz Ventures, Inc.Option represents a replacement option whereby Mr. Swartz voluntarily cancelled an option to purchase up to 150,000 shares of common stock in order to increase the number of options available for grant to other employees of the Company on August 20, 2003. Of the total shares subject to the option, 97,917 are exercisable on the date of grant to coincide with the vesting terms of the original option grant. The remaining 52,083 options vest equally over a five month period through March 2004.One-third of total shares subject to the option are exercisable on the date of grant; One-third of total shares subject to the option are exercisable on October 14, 2004 and; One-third of total shares subject to the option are exercisable on October 14, 2005.Not applicable.By Paul J. Lytle, Power of Attorney for Eric S. Swartz2003-10-23 -----END PRIVACY-ENHANCED MESSAGE-----