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Filing Details

Accession Number:: 0001193805-16-002687
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2016-02-19 12:38:01
Reporting Period:: 2015-09-03

Filing Date:: 2016-02-19
Accepted Time:: 2016-02-19 12:38:01
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1652923	Avexis Inc.	AVXS	Biological Products, (No Disgnostic Substances) (2836)	901038273

Insiders

Cik	Name	Reported Address	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	Yes	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
1603333	Deerfield Private Design Fund Iii, L.p.	780 Third Avenue, 37Th Floor New York NY 10017	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

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Acquisiton	2015-09-03	131,911	$18.48	131,911	No	4	P	Indirect	Through Deerfield Private Design Fund III, L.P.
Common Stock	Acquisiton	2015-09-03	131,911	$18.48	131,911	No	4	P	Indirect	Through Deerfield Special Situations Fund, L.P.
Common Stock	Acquisiton	2016-02-17	67,448	$0.00	199,359	No	4	C	Indirect	Through Deerfield Private Design Fund III, L.P.
Common Stock	Acquisiton	2016-02-17	1,182,941	$0.00	1,382,300	No	4	C	Indirect	Through Deerfield Private Design Fund III, L.P.
Common Stock	Acquisiton	2016-02-17	117,996	$0.00	1,500,296	No	4	C	Indirect	Through Deerfield Private Design Fund III, L.P.
Common Stock	Acquisiton	2016-02-17	117,998	$0.00	249,909	No	4	C	Indirect	Through Deerfield Special Situations Fund, L.P.
Common Stock	Acquisiton	2016-02-17	122,793	$20.00	1,623,089	No	4	P	Indirect	Through Deerfield Private Design Fund III, L.P.
Common Stock	Acquisiton	2016-02-17	163,702	$20.00	413,611	No	4	P	Indirect	Through Deerfield Special Situations Fund, L.P.
Common Stock	Acquisiton	2016-02-17	88,000	$20.00	88,000	No	4	P	Indirect	Through Deerfield Partners, L.P.
Common Stock	Acquisiton	2016-02-17	112,000	$20.00	112,000	No	4	P	Indirect	Through Deerfield International Master Fund, L.P.

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	P	Indirect	Through Deerfield Private Design Fund III, L.P.
No	4	P	Indirect	Through Deerfield Special Situations Fund, L.P.
No	4	C	Indirect	Through Deerfield Private Design Fund III, L.P.
No	4	C	Indirect	Through Deerfield Private Design Fund III, L.P.
No	4	C	Indirect	Through Deerfield Private Design Fund III, L.P.
No	4	C	Indirect	Through Deerfield Special Situations Fund, L.P.
No	4	P	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 Partners, L.P.
No	4	P	Indirect	Through Deerfield International Master Fund, L.P.

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Class D Preferred Stock	Acquisiton	2015-09-03	117,996	$21.01	117,996	$0.00
Common Stock	Class D Preferred Stock	Acquisiton	2015-09-03	117,998	$21.01	117,998	$0.00
Common Stock	Class B-1 Preferred Stock	Disposition	2016-02-17	67,448	$0.00	67,448	$0.00
Common Stock	Class C Preferred Stock	Disposition	2016-02-17	1,182,941	$0.00	1,182,941	$0.00
Common Stock	Class D Preferred Stock	Disposition	2016-02-17	117,996	$0.00	117,996	$0.00
Common Stock	Class D Preferred Stock	Disposition	2016-02-17	117,998	$0.00	117,998	$0.00

Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
No	4	P	Indirect
No	4	P	Indirect
No	4	C	Indirect
No	4	C	Indirect
No	4	C	Indirect
No	4	C	Indirect

Footnotes

The amounts reflect a 1.38-for-1 forward stock split of the Preferred Stock (as defined below) effected by the Issuer on February 1, 2016.
Each share of Class B-1 Preferred Stock, Class C Preferred Stock and Class D Preferred Stock (collectively, the "Preferred Stock") automatically converted into 1 share of the Issuer's Common Stock upon the closing of the Issuer's initial public offering of Common Stock.
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"). 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 Partners, L.P. and Deerfield International Master Fund, L.P. (together 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, L.P., Deerfield Mgmt III, L.P. and Deerfield Management Company, L.P.
In accordance with Instruction 4 (b)(iv) to Form 4, 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, as amended, 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.