0001683168-18-001187.txt : 20180503 0001683168-18-001187.hdr.sgml : 20180503 20180503200307 ACCESSION NUMBER: 0001683168-18-001187 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180501 FILED AS OF DATE: 20180503 DATE AS OF CHANGE: 20180503 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Lias Roger J. CENTRAL INDEX KEY: 0001717199 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-32839 FILM NUMBER: 18805710 MAIL ADDRESS: STREET 1: 14282 FRANKLIN AVE. CITY: TUSTIN STATE: CA ZIP: 92705 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Avid Bioservices, Inc. CENTRAL INDEX KEY: 0000704562 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 953698422 STATE OF INCORPORATION: DE FISCAL YEAR END: 0430 BUSINESS ADDRESS: STREET 1: 2642 MICHELLE DRIVE, SUITE 200 CITY: TUSTIN STATE: CA ZIP: 92780 BUSINESS PHONE: 714.508.6100 MAIL ADDRESS: STREET 1: 2642 MICHELLE DRIVE, SUITE 200 CITY: TUSTIN STATE: CA ZIP: 92780 FORMER COMPANY: FORMER CONFORMED NAME: PEREGRINE PHARMACEUTICALS INC DATE OF NAME CHANGE: 20001109 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 lias_frm4.xml OWNERSHIP DOCUMENT X0306 4 2018-05-01 0 0000704562 Avid Bioservices, Inc. CDMO 0001717199 Lias Roger J. 2642 MICHELLE DRIVE, SUITE 200 TUSTIN CA 92780 1 1 0 0 President & CEO Stock Option (right to buy) 3.38 2018-05-01 4 A 0 50000 0.0000 A 2018-09-25 2028-05-01 Common Stock 50000 200000 D This option represents the balance of the approved stock option grant to Dr. Lias' upon commencement of employment on September 25, 2017 as reported by the Issuer in its Current Report on Form 8-K filed with the Commission on September 14, 2017. The option vests in four (4) equal installments with the first installment vesting on September 25, 2018, the one year anniversary of his employment start date, and annually thereafter until fully-vested. /s/ Roger J. Lias 2018-05-03