Form4insider filings, from the source

SEC Form 4 · accession 0001193805-16-002687

AveXis, Inc. · AVXS

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owners
DEERFIELD MANAGEMENT CO
10% Owner · Other
Deerfield Mgmt L.P.
10% Owner · Other
DEERFIELD PARTNERS, LP
10% Owner · Other
James E Flynn
Director · 10% Owner · Other
Deerfield Mgmt III, L.P.
10% Owner · Other
Period of report
Sep 3, 2015
Accepted (ET)
Feb 19, 2016 · 12:38 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001652923

Table I — non-derivative securities

SecurityDateCodeSharesPriceA/DOwned afterD/INature of ownership
Common StockF1,F3,F4Sep 3, 2015P131,911$18.48A131,911IThrough Deerfield Private Design Fund III, L.P.
Common StockF1,F3,F4Sep 3, 2015P131,911$18.48A131,911IThrough Deerfield Special Situations Fund, L.P.
Common StockF2,F3,F4Feb 17, 2016C67,448—A199,359IThrough Deerfield Private Design Fund III, L.P.
Common StockF2,F3,F4Feb 17, 2016C1,182,941—A1,382,300IThrough Deerfield Private Design Fund III, L.P.
Common StockF2,F3,F4Feb 17, 2016C117,996—A1,500,296IThrough Deerfield Private Design Fund III, L.P.
Common StockF2,F3,F4Feb 17, 2016C117,998—A249,909IThrough Deerfield Special Situations Fund, L.P.
Common StockF3,F4Feb 17, 2016P122,793$20.00A1,623,089IThrough Deerfield Private Design Fund III, L.P.
Common StockF3,F4Feb 17, 2016P163,702$20.00A413,611IThrough Deerfield Special Situations Fund, L.P.
Common StockF3,F4Feb 17, 2016P88,000$20.00A88,000IThrough Deerfield Partners, L.P.
Common StockF3,F4Feb 17, 2016P112,000$20.00A112,000IThrough Deerfield International Master Fund, L.P.

Table II — derivative securities

SecurityConv. / exercise priceDateCodeSharesA/DExercisableExpiresUnderlyingUnderlying sharesOwned afterD/I
Class D Preferred StockF1,F3,F4—Sep 3, 2015P117,996A——Common Stock117,9960I
Class D Preferred StockF1,F3,F4—Sep 3, 2015P117,998A——Common Stock117,9980I
Class B-1 Preferred StockF2,F3,F4—Feb 17, 2016C67,448D——Common Stock67,4480I
Class C Preferred StockF2,F3,F4—Feb 17, 2016C1,182,941D——Common Stock1,182,9410I
Class D Preferred StockF2,F3,F4—Feb 17, 2016C117,996D——Common Stock117,9960I
Class D Preferred StockF2,F3,F4—Feb 17, 2016C117,998D——Common Stock117,9980I

Explanation of responses

Remarks

Jonathan S. Leff, a partner in Deerfield Management Company, L.P., serves as a director of the Issuer. Jonathan Isler, Attorney-in-Fact: Power of Attorney, which is hereby incorporated by reference to Exhibit 24 to a Form 3 with regard to Editas Medicine, Inc. filed with the Securities and Exchange Commission on February 2, 2016 by Deerfield Mgmt, L.P., Deerfield Mgmt III, L.P., Deerfield Management Company, L.P., Deerfield Special Situations Fund, L.P., Deerfield Partners, L.P., Deerfield Private Design Fund, L.P., Deerfield Private Design International, L.P., Deerfield PDI Financing, L.P., Deerfield PDI Financing II, L.P., Deerfield Private Design Fund II, L.P., Deerfield Private Design International II, L.P., Deerfield International Master Fund, L.P., Deerfield Healthcare Innovations Fund, L.P., Deerfield Mgmt HIF, L.P., Breaking Stick Holdings, LLC, Deerfield Private Design Fund III, L.P. and James E. Flynn.