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Filing Details

Accession Number:
0001193805-14-001617
Form Type:
4
Zero Holdings:
No
Publication Time:
2014-08-05 17:26:04
Reporting Period:
2014-08-05
Filing Date:
2014-08-05
Accepted Time:
2014-08-05 17:26:04
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1501756 Avalanche Biotechnologies Inc. AAVL Biological Products, (No Disgnostic Substances) (2836) 205258327
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1009258 Deerfield Management Co 780 Third Avenue, 37Th Floor
New York NY 10017
No No Yes Yes
1010823 L.p. Mgmt Deerfield 780 Third Avenue
37Th Floor
New York NY 10017
No No Yes Yes
1301041 Deerfield Partners, Lp 780 Third Avenue
37Th Floor
New York NY 10017
No No Yes Yes
1352546 E James Flynn 780 Third Avenue
37Th Floor
New York NY 10017
No No Yes Yes
1354395 Deerfield Special Situations Fund, L.p. 780 3Rd Avenue
37Th Floor
New York NY 10017
No No Yes Yes
1565089 Deerfield International Master Fund, L.p. 780 Third Avenue, 37Th Floor
New York NY 10017
No No Yes Yes
1565099 Deerfield Special Situations International Master Fund, L.p. 780 Third Avenue, 37Th Floor
New York NY 10017
No No Yes Yes
1603333 Deerfield Private Design Fund Iii, L.p. Bison Court, P.o. Box 3460
Road Town, Tortola D8 00000
No No Yes Yes
1610540 Deerfield Mgmt Iii, L.p. 780 Third Avenue, 37Th Floor
New York NY 10017
No No Yes Yes
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2014-08-05 184,594 $0.00 184,594 No 4 C Indirect Through Deerfield Special Situations Fund, L.P.
Common Stock Acquisiton 2014-08-05 147,410 $0.00 147,410 No 4 C Indirect Through Deerfield Special Situations International Master Fund, L.P.
Common Stock Acquisiton 2014-08-05 531,208 $0.00 531,208 No 4 C Indirect Through Deerfield Private Design Fund III, L.P.
Common Stock Acquisiton 2014-08-05 42,700 $17.00 227,294 No 4 P Indirect Through Deerfield Special Situations Fund, L.P.
Common Stock Acquisiton 2014-08-05 34,223 $17.00 181,633 No 4 P Indirect Through Deerfield Special Situations International Master Fund, L.P.
Common Stock Acquisiton 2014-08-05 123,077 $17.00 654,285 No 4 P Indirect Through Deerfield Private Design Fund III, L.P.
Common Stock Acquisiton 2014-08-05 44,700 $17.00 44,700 No 4 P Indirect Through Deerfield Partners, L.P.
Common Stock Acquisiton 2014-08-05 163,300 $25.41 208,000 No 4 P Indirect Through Deerfield Partners, L.P.
Common Stock Acquisiton 2014-08-05 7,900 $25.52 215,900 No 4 P Indirect Through Deerfield Partners, L.P.
Common Stock Acquisiton 2014-08-05 15,100 $25.79 231,000 No 4 P Indirect Through Deerfield Partners, L.P.
Common Stock Acquisiton 2014-08-05 177,700 $26.42 408,700 No 4 P Indirect Through Deerfield Partners, L.P.
Common Stock Acquisiton 2014-08-05 10,100 $27.54 418,800 No 4 P Indirect Through Deerfield Partners, L.P.
Common Stock Acquisiton 2014-08-05 22,400 $26.14 441,200 No 4 P Indirect Through Deerfield Partners, L.P.
Common Stock Acquisiton 2014-08-05 40,400 $26.35 481,600 No 4 P Indirect Through Deerfield Partners, L.P.
Common Stock Acquisiton 2014-08-05 25,600 $24.57 507,200 No 4 P Indirect Through Deerfield Partners, L.P.
Common Stock Acquisiton 2014-08-05 55,300 $17.00 55,300 No 4 P Indirect Through Deerfield International Master Fund, L.P.
Common Stock Acquisiton 2014-08-05 201,972 $25.41 257,272 No 4 P Indirect Through Deerfield International Master Fund, L.P.
Common Stock Acquisiton 2014-08-05 9,800 $25.52 267,072 No 4 P Indirect Through Deerfield International Master Fund, L.P.
Common Stock Acquisiton 2014-08-05 18,700 $25.79 285,772 No 4 P Indirect Through Deerfield International Master Fund, L.P.
Common Stock Acquisiton 2014-08-05 219,864 $26.42 505,636 No 4 P Indirect Through Deerfield International Master Fund, L.P.
Common Stock Acquisiton 2014-08-05 12,400 $27.54 518,036 No 4 P Indirect Through Deerfield International Master Fund, L.P.
Common Stock Acquisiton 2014-08-05 27,600 $26.14 545,636 No 4 P Indirect Through Deerfield International Master Fund, L.P.
Common Stock Acquisiton 2014-08-05 49,981 $26.35 595,617 No 4 P Indirect Through Deerfield International Master Fund, L.P.
Common Stock Acquisiton 2014-08-05 31,650 $24.57 627,267 No 4 P Indirect Through Deerfield International Master Fund, L.P.
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 C Indirect Through Deerfield Special Situations Fund, L.P.
No 4 C Indirect Through Deerfield Special Situations International Master Fund, L.P.
No 4 C Indirect Through Deerfield Private Design Fund III, L.P.
No 4 P Indirect Through Deerfield Special Situations Fund, L.P.
No 4 P Indirect Through Deerfield Special Situations International Master Fund, L.P.
No 4 P Indirect Through Deerfield Private Design Fund III, L.P.
No 4 P Indirect Through Deerfield Partners, L.P.
No 4 P Indirect Through Deerfield Partners, L.P.
No 4 P Indirect Through Deerfield Partners, L.P.
No 4 P Indirect Through Deerfield Partners, L.P.
No 4 P Indirect Through Deerfield Partners, L.P.
No 4 P Indirect Through Deerfield Partners, L.P.
No 4 P Indirect Through Deerfield Partners, L.P.
No 4 P Indirect Through Deerfield Partners, L.P.
No 4 P Indirect Through Deerfield Partners, L.P.
No 4 P Indirect Through Deerfield International Master Fund, L.P.
No 4 P Indirect Through Deerfield International Master Fund, L.P.
No 4 P Indirect Through Deerfield International Master Fund, L.P.
No 4 P Indirect Through Deerfield International Master Fund, L.P.
No 4 P Indirect Through Deerfield International Master Fund, L.P.
No 4 P Indirect Through Deerfield International Master Fund, L.P.
No 4 P Indirect Through Deerfield International Master Fund, L.P.
No 4 P Indirect Through Deerfield International Master Fund, L.P.
No 4 P Indirect Through Deerfield International Master Fund, L.P.
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Series B Preferred Stock Disposition 2014-08-05 184,594 $0.00 184,594 $0.00
Common Stock Series B Preferred Stock Disposition 2014-08-05 147,410 $0.00 147,410 $0.00
Common Stock Series B Preferred Stock Disposition 2014-08-05 531,208 $0.00 531,208 $0.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 No 4 C Indirect
0 No 4 C Indirect
0 No 4 C Indirect
Footnotes
  1. The Series B Preferred Stock was convertible at any time into the Issuer's Common Stock, on a one-for-one basis and had no expiration date. The Series B Preferred Stock converted into shares of the Issuer's Common Stock upon the closing of the Issuer's initial public offering of Common Stock.
  2. This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons").
  3. Deerfield Mgmt III, L.P. is the general partner of Deerfield Private Design Fund III, L.P. ("Fund III"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P., Deerfield Special Situations International Master Fund, L.P., Deerfield Partners, L.P. and Deerfield International Master Fund, L.P. (collectively with Fund III, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt III, L.P., Deerfield Mgmt, L.P. and Deerfield Management Company, L.P.
  4. In accordance with Instruction 5 (b)(iv) to Form 3, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise.