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Filing Details

Accession Number:
0001495384-14-000004
Form Type:
4
Zero Holdings:
No
Publication Time:
2014-08-07 15:17:11
Reporting Period:
2014-08-05
Filing Date:
2014-08-07
Accepted Time:
2014-08-07 15:17:11
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
1365618 D Anders Hove C/o Venrock
3340 Hillview Ave.
Palo Alto CA 94304
No No Yes No
1458177 Venrock Healthcare Capital Partners Lp C/o Venrock
3340 Hillview Ave.
Palo Alto CA 94304
No No Yes No
1479354 Vhcp Co-Investment Holdings, Llc C/o Venrock
3340 Hillview Ave.
Palo Alto CA 94304
No No Yes No
1479355 Vhcp Management, Llc C/o Venrock
3340 Hillview Ave.
Palo Alto CA 94304
No No Yes No
1495383 Venrock Management Vi, Llc C/o Venrock
3340 Hillview Ave.
Palo Alto CA 94304
No No Yes No
1495384 Venrock Associates Vi, L.p. C/o Venrock
3340 Hillview Ave.
Palo Alto CA 94304
No No Yes No
1495385 Venrock Partners Management Vi, Llc C/o Venrock
3340 Hillview Ave.
Palo Alto CA 94304
No No Yes No
1495386 Venrock Partners Vi, L.p. C/o Venrock
3340 Hillview Ave.
Palo Alto CA 94304
No No Yes No
1615979 Y Bong Koh C/o Venrock
3340 Hillview Ave.
Palo Alto CA 94304
No No Yes No
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 1,965,471 $0.00 1,965,471 No 4 C Indirect By Funds
Common Stock Acquisiton 2014-08-05 400,000 $17.00 2,365,471 No 4 P Indirect By Funds
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 C Indirect By Funds
No 4 P Indirect By Funds
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 1,965,471 $0.00 1,965,471 $0.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 No 4 C Indirect
Footnotes
  1. Each share of Series B Preferred Stock automatically converted into one share of Issuer's Common Stock upon the consummation of the Issuer's initial public offering (the "IPO").
  2. Venrock Associates VI, L.P. ("VA6") holds an aggregate of 911,193 shares, Venrock Partners VI, L.P. ("VP6") holds an aggregate of 71,543 shares, Venrock Healthcare Capital Partners, L.P. ("VHCP") holds an aggregate of 830,805 shares and VHCP Co-Investment Holdings, LLC ("Co-Invest") holds an aggregate of 151,930 shares.
  3. Venrock Management VI, LLC, Venrock Partners Management VI, LLC and VHCP Management, LLC (collectively, the "Venrock GP Entities") are the sole general partners or manager, as applicable, of VA6, VP6, VHCP and Co-Invest (collectively, the "Funds"), respectively, and have voting and investment power over the shares held by the Funds. Anders Hove and Bong Koh are the managing members of VHCP Management, LLC and may be deemed to beneficially own the shares held by VHCP and Co-Invest. Each of the Venrock GP Entities and Drs. Hove and Koh disclaims beneficial ownership of the shares held by the Funds, except to the extent of their respective indirect pecuniary interests therein.
  4. In the IPO, VHCP purchased an aggregate of 101,443 shares, Co-Invest purchased an aggregate of 18,557 shares, Venrock Healthcare Capital Partners II, L.P. ("VHCP2") purchased an aggregate of 235,455 shares and VHCP Co-Investment Holdings II, LLC ("Co-Invest 2") purchased an aggregate of 44,545 shares.
  5. VA6 holds an aggregate of 911,193 shares, VP6 holds an aggregate of 71,543 shares, VHCP holds an aggregate of 932,248 shares, Co-Invest holds an aggregate of 170,487 shares, VHCP2 holds an aggregate of 235,455 shares and Co-Invest 2 holds an aggregate of 44,545 shares.
  6. Venrock Management VI, LLC, Venrock Partners Management VI, LLC, VHCP Management, LLC and VHCP Management II, LLC (collectively, the "Venrock GP I & II Entities") are the sole general partners or managers, as applicable, of VA6, VP6, VHCP, VHCP2, Co-Invest and Co-Invest 2 (collectively, the "Venrock Funds"), respectively, and have voting and investment power over the shares held by the Venrock Funds. Anders Hove and Bong Koh are the managing members of VHCP Management, LLC and VHCP Management II, LLC and may be deemed to beneficially own the shares held by VHCP, VHCP2, Co-Invest and Co-Invest 2. Each of the Venrock GP I & II Entities and Drs. Hove and Koh disclaims beneficial ownership of the shares held by the Venrock Funds, except to the extent of their respective indirect pecuniary interests therein.
  7. The Series B Preferred Stock automatically converted into shares of Issuer's Common Stock on a 1:1 basis upon the completion of Issuer's IPO.
  8. The expiration date is not relevant to the conversion of these securities.