Filing Details

Accession Number:
0001209191-16-100628
Form Type:
4
Zero Holdings:
No
Publication Time:
2016-02-19 17:03:08
Reporting Period:
2016-02-17
Filing Date:
2016-02-19
Accepted Time:
2016-02-19 17:03:08
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 Insider Title Director Officer Large Shareholder Other
1615979 Y Bong Koh C/O Avexis, Inc.
2275 Half Day Road, Suite 160
Bannockburn IL 60015
Yes No 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 2016-02-17 418,158 $0.00 935,657 No 4 C Indirect See Footnote
Common Stock Acquisiton 2016-02-17 100,000 $20.00 1,035,657 No 4 P Indirect See Footnote
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 C Indirect See Footnote
No 4 P Indirect See Footnote
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Class B-1 Common Stock Disposition 2016-02-17 103,499 $0.00 103,499 $0.00
Common Stock Class D Common Stock Disposition 2016-02-17 314,659 $0.00 314,569 $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
Footnotes
  1. The Reporting Person, a member of the Board of Directors of the Issuer, is a member of VHCP Management II, LLC, the sole general partner of Venrock Healthcare Capital Partners II, L.P. ("VHCPII") and the sole manager of VHCP Co-Investment Holdings II, LLC ("Co-Invest II") and, as such, may be deemed to beneficially own the securities owned by each of VHCPII and Co-Invest II. The Reporting Person disclaims beneficial ownership of the shares beneficially owned by VHCPII and Co-Invest II, except to the extent of his pecuniary interest therein.
  2. Consists of (i) 665,721 shares held by VHCPII, and (ii) 269,936 shares held by Co-Invest II.
  3. 71,150 of these shares were purchased by VHCPII and 28,850 of these shares were purchased by Co-Invest II.
  4. Consists of (i) 736,871 shares held by VHCPII, and (ii) 298,786 shares held by Co-Invest II.
  5. Each share of the Class B-1 Common Stock and the Class D Common Stock automatically converted into the same number of shares of Common Stock upon the closing of the Issuer's initial public offering. The Class B-1 Common Stock and the Class D Common Stock had no expiration date.
  6. Consists of (i) 73,640 shares of Class B-1 Common Stock which were held by VHCPII, and (ii) 29,859 shares of Class B-1 Common Stock which were held by Co-Invest II.
  7. Consists of (i) 223,880 shares of Class D Common Stock which were held by VHCPII, and (ii) 90,779 shares of Class D Common Stock which were held by Co-Invest II.