0001683168-20-004192.txt : 20201207 0001683168-20-004192.hdr.sgml : 20201207 20201207200734 ACCESSION NUMBER: 0001683168-20-004192 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20201203 FILED AS OF DATE: 20201207 DATE AS OF CHANGE: 20201207 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Thoma Jeanne CENTRAL INDEX KEY: 0001819879 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-32839 FILM NUMBER: 201374142 MAIL ADDRESS: STREET 1: C/O ANI PHARMACEUTICALS, INC. STREET 2: 210 MAIN STREET WEST CITY: BAUDETTE STATE: MN ZIP: 56623 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 ownership.xml X0306 4 2020-12-03 0 0000704562 Avid Bioservices, Inc. CDMO 0001819879 Thoma Jeanne 2642 MICHELLE DRIVE, SUITE 200 TUSTIN CA 92780 1 0 0 0 Stock Option (right to buy) 11.06 2020-12-03 4 A 0 19403 0.0000 A 2021-12-03 2027-12-03 Common Stock 19403 19403 D Restricted Stock Units 2020-12-03 4 A 0 4611 0.0000 A 2021-12-03 Common Stock 4611 4611 D One-third of the stock options granted to the reporting person shall vest on December 3, 2021 and on each one-year anniversary thereafter until fully vested, subject to the reporting person's continuous service to the Issuer on such vesting dates. Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's Common Stock. One-third of the RSUs granted to the reporting person shall vest on December 3, 2021 and on each one-year anniversary thereafter until fully vested, subject to the reporting person's continuous service to the Issuer on such vesting dates. /s/ Stephen Hedberg, by Power of Attorney for Jeanne A. Thoma 2020-12-07