Filing Details

Accession Number:
0001140361-15-016257
Form Type:
4
Zero Holdings:
No
Publication Time:
2015-04-23 16:58:34
Reporting Period:
2015-04-21
Filing Date:
2015-04-23
Accepted Time:
2015-04-23 16:58:34
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
1614875 Mehdi Gasmi C/O Avalanche Biotechnologies, Inc.
1035 O'Brien Drive, Suite A
Menlo Park CA 94025
Vp, Pharmaceutical Development No Yes No 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 2015-04-21 1,000 $2.75 1,000 No 4 M Direct
Common Stock Disposition 2015-04-21 1,000 $39.21 0 No 4 S Direct
Common Stock Acquisiton 2015-04-21 7,000 $0.00 7,000 No 4 A Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 S Direct
No 4 A Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Stock Option (Right to Buy) Disposition 2015-04-21 1,000 $0.00 1,000 $2.75
Common Stock Stock Option (Right to Buy) Acquisiton 2015-04-21 20,000 $0.00 20,000 $39.35
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
99,000 2024-03-04 No 4 M Direct
20,000 2025-04-20 No 4 A Direct
Footnotes
  1. Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person.
  2. This transaction was executed in multiple trades in prices ranging from $39.02 to $39.51, inclusive. The price reported in Column 4 above reflects the weighted average sales price. The Reporting Person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote.
  3. Restricted Stock Units ("RSUs"). The Reporting Person is entitled to receive one (1) share of Common Stock of the Issuer for each one (1) RSU upon the vesting thereof. Such RSUs vest with respect to 25% of the shares subject thereto on each of the first, second, third and fourth anniversary of April 21, 2015.
  4. Twenty-five percent (25%) of the shares subject to the option vest and become exercisable on the first anniversary measured from March 5, 2014, and the remaining shares subject to the option vest and become exercisable in 36 successive, equal monthly installments thereafter, subject to the Reporting Person's continued employment or service relationship with the Issuer on each such vesting date.
  5. Twenty-five percent (25%) of the shares subject to the option vest and become exercisable on the first anniversary measured from April 21, 2015, and the remaining shares subject to the option vest and become exercisable in 36 successive, equal monthly installments thereafter, subject to the Reporting Person's continued employment or service relationship with the Issuer on each such vesting date.