-----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, HnrrithJMMfsLHwmRUmDlmvhNeBdBocM99ldi2SZD5L8xoMsj5npgZC5f5mS1Guv 3PcX/EgfrjAAjrXAuw+vkw== 0001019687-04-002619.txt : 20041119 0001019687-04-002619.hdr.sgml : 20041119 20041119193928 ACCESSION NUMBER: 0001019687-04-002619 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20041117 FILED AS OF DATE: 20041119 DATE AS OF CHANGE: 20041119 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: 041159090 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 X0202 4 2004-11-17 0000704562 PEREGRINE PHARMACEUTICALS INC PPHM 0001244108 SWARTZ ERIC S C/O PEREGRINE PHARMACEUTICALS, INC. 14272 FRANKLIN AVENUE, SUITE 100 TUSTIN, CA 92780 1 0 0 0 Common Stock, $.001 par value 2004-11-17 4 M 0 191250 .4688 A 1512015 D Common Stock, $.001 par value 2004-11-17 4 S 0 10000 1.35 D 1502015 D Common Stock, $.001 par value 2004-11-17 4 S 0 3140 1.36 D 1498875 D Common Stock, $.001 par value 2004-11-17 4 S 0 3220 1.34 D 1495655 D Common Stock, $.001 par value 2004-11-17 4 S 0 7499 1.33 D 1488156 D Common Stock, $.001 par value 2004-11-17 4 S 0 5488 1.31 D 1482668 D Common Stock, $.001 par value 2004-11-17 4 S 0 10000 1.30 D 1472668 D Common Stock, $.001 par value 2004-11-17 4 S 0 2500 1.32 D 1470168 D Common Stock, $.001 par value 2004-11-19 4 S 0 3000 1.27 D 1467168 D Common Stock, $.001 par value 2004-11-19 4 S 0 3000 1.25 D 1464168 D Common Stock, $.001 par value 2004-11-19 4 S 0 3000 1.24 D 1461168 D Common Stock, $.001 par value 2004-11-19 4 S 0 6000 1.23 D 1455168 D Common Stock, $.001 par value 2004-11-19 4 S 0 2500 1.24 D 1452668 D Common Stock, $.001 par value 2004-11-19 4 S 0 3321 1.24 D 1449347 D Common Stock, $.001 par value 2004-11-19 4 S 0 2159 1.24 D 1447188 D Common Stock, $.001 par value 2004-11-19 4 S 0 2500 1.23 D 1444688 D Common Stock, $.001 par value 2004-11-19 4 S 0 1679 1.23 D 1443009 D Common Stock, $.001 par value 2004-11-17 4 M 0 183750 .4688 A 419750 I By Swartz Ventures, Inc. Common Stock, $.001 par value 2004-11-18 4 S 0 8000 1.28 D 411750 I By Swartz Ventures, Inc. Common Stock, $.001 par value 2004-11-18 4 S 0 157 1.34 D 411593 I By Swartz Ventures, Inc. Common Stock, $.001 par value 2004-11-18 4 S 0 7000 1.33 D 404593 I By Swartz Ventures, Inc. Common Stock, $.001 par value 2004-11-18 4 S 0 11000 1.28 D 393593 I By Swartz Ventures, Inc. Common Stock, $.001 par value 2004-11-18 4 S 0 4000 1.29 D 389593 I By Swartz Ventures, Inc. Common Stock, $.001 par value 2004-11-18 4 S 0 12000 1.27 D 377593 I By Swartz Ventures, Inc. Common Stock, $.001 par value 2004-11-18 4 S 0 12000 1.26 D 365593 I By Swartz Ventures, Inc. Common Stock, $.001 par value 2004-11-19 4 S 0 8900 1.26 D 356693 I By Swartz Ventures, Inc. Common Stock, $.001 par value 2004-11-19 4 S 0 1100 1.24 D 355593 I By Swartz Ventures, Inc. Common Stock, $.001 par value 2004-11-19 4 S 0 600 1.23 D 354993 I By Swartz Ventures, Inc. Warrants to purchase common stock (right to buy) .4688 2004-11-17 4 M 0 191250 .4688 D 1999-11-19 2004-11-19 Common Stock 191250 360578 D Warrants to purchase common stock (right to buy) .4688 2004-11-17 4 M 0 183750 .4688 D 1999-11-19 2004-11-19 Common Stock 183750 236000 I By Swartz Ventures, Inc. Non-Qualified Stock Option (right to buy) n/a 700000 D n/a The sale of common shares by Mr. Swartz was executed to cover the exercise price of warrants exercised on November 17, 2004. Eric S. Swartz 2004-11-19 -----END PRIVACY-ENHANCED MESSAGE-----