Page 9 of 14 – SEC Filing CUSIP No. 05070R104 13G Page 9 of 11
(i) o A church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act;
(j) o A non-U.S. institution in accordance with Rule 13d-1(b)(1)(ii)(J);
(k) o Group, in accordance with Rule 13d-1(b)(1)(ii)(K).
If filing as a non-U.S. institution in accordance with Rule 13d-1(b)(1)(ii)(J), please specify the type of institution: _________________ Item 4. Ownership.
Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1. (a) Amount beneficially owned**: Deerfield Mgmt, L.P. – 514,424 shares Deerfield Mgmt III, L.P. – 889,230 shares Deerfield Management Company, L.P. – 1,403,654 shares Deerfield Special Situations Fund, L.P. – 514,424 shares Deerfield Private Design Fund III, L.P. – 889,230 shares James E. Flynn – 1,403,654 shares (b) Percent of class**: Deerfield Mgmt, L.P. – 2.45% Deerfield Mgmt III, L.P. – 4.23% Deerfield Management Company, L.P. – 6.68% Deerfield Special Situations Fund, L.P. – 2.45% Deerfield Private Design Fund III, L.P. – 4.23% James E. Flynn – 6.68%
(c) Number of shares as to which such person has**: (i) Sole power to vote or to direct the vote: All Reporting Persons – 0 (ii) Shared power to vote or to direct the vote: Deerfield Mgmt, L.P. – 514,424 shares Deerfield Mgmt III, L.P. – 889,230 shares Deerfield Management Company, L.P. – 1,403,654 shares Deerfield Special Situations Fund, L.P. – 514,424 shares Deerfield Private Design Fund III, L.P. – 889,230 shares James E. Flynn – 1,403,654 shares
(iii) Sole power to dispose or to direct the disposition of: All Reporting Persons – 0 (iv) Shared power to dispose or to direct the disposition of: Deerfield Mgmt, L.P. – 514,424 shares Deerfield Mgmt III, L.P. – 889,230 shares Deerfield Management Company, L.P. – 1,403,654 shares Deerfield Special Situations Fund, L.P. – 514,424 shares Deerfield Private Design Fund III, L.P. – 889,230 shares James E. Flynn – 1,403,654 shares
**See footnotes on cover pages which are incorporated by reference herein. Follow Audentes Therapeutics Inc. (NASDAQ:BOLD)
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| CUSIP No. | 05070R104 | 13G | Page 9 of 11 |
| (i) | o | A church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act; |
| (j) | o | A non-U.S. institution in accordance with Rule 13d-1(b)(1)(ii)(J); |
| |
| (k) | o | Group, in accordance with Rule 13d-1(b)(1)(ii)(K). |
If filing as a non-U.S. institution in accordance with Rule 13d-1(b)(1)(ii)(J), please specify the type of institution: _________________
| Item 4. | Ownership. |
Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1.
| (a) | Amount beneficially owned**: | ||
| Deerfield Mgmt, L.P. – 514,424 shares Deerfield Mgmt III, L.P. – 889,230 shares Deerfield Management Company, L.P. – 1,403,654 shares Deerfield Special Situations Fund, L.P. – 514,424 shares Deerfield Private Design Fund III, L.P. – 889,230 shares James E. Flynn – 1,403,654 shares | |||
| (b) | Percent of class**: | ||
| Deerfield Mgmt, L.P. – 2.45% Deerfield Mgmt III, L.P. – 4.23% Deerfield Management Company, L.P. – 6.68% Deerfield Special Situations Fund, L.P. – 2.45% Deerfield Private Design Fund III, L.P. – 4.23% James E. Flynn – 6.68% |
| (c) | Number of shares as to which such person has**: | ||||
| (i) | Sole power to vote or to direct the vote: | All Reporting Persons – 0 | |||
| (ii) | Shared power to vote or to direct the vote: | Deerfield Mgmt, L.P. – 514,424 shares Deerfield Mgmt III, L.P. – 889,230 shares Deerfield Management Company, L.P. – 1,403,654 shares Deerfield Special Situations Fund, L.P. – 514,424 shares Deerfield Private Design Fund III, L.P. – 889,230 shares James E. Flynn – 1,403,654 shares | |||
| (iii) | Sole power to dispose or to direct the disposition of: | All Reporting Persons – 0 | |||
| (iv) | Shared power to dispose or to direct the disposition of: | Deerfield Mgmt, L.P. – 514,424 shares Deerfield Mgmt III, L.P. – 889,230 shares Deerfield Management Company, L.P. – 1,403,654 shares Deerfield Special Situations Fund, L.P. – 514,424 shares Deerfield Private Design Fund III, L.P. – 889,230 shares James E. Flynn – 1,403,654 shares |
**See footnotes on cover pages which are incorporated by reference herein.
Follow Audentes Therapeutics Inc. (NASDAQ:BOLD)
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