13D Filing: James E. Flynn and AveXis Inc (AVXS)

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Page 3 of 15 – SEC Filing

 SCHEDULE 13D

CUSIP No.  05366U100 Page 3 of 15 Pages
1

NAME OF REPORTING PERSONS

Deerfield Special
Situations Fund, L.P.

2

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(a) ☐

(b) ☒

3

SEC USE ONLY

4

SOURCE OF FUNDS

WC

5

CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
TO ITEMS 2(d) or 2(e)

6

CITIZENSHIP OR PLACE OF ORGANIZATION

Delaware

 

 

 NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

7

SOLE VOTING POWER

0

8

SHARED VOTING POWER

413,611

9

SOLE DISPOSITIVE POWER

0

10

SHARED DISPOSITIVE POWER

413,611

11

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

413,611

12

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
SHARES*

13

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)

1.49%

14

TYPE OF REPORTING PERSON

PN

Follow Avexis Inc.

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