SEC Form 3 · accession 0001209191-16-097428
AveXis, Inc. · AVXS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas J. Dee
Officer — Sr. VP & CFO
Period of report
Feb 10, 2016
Accepted (ET)
Feb 10, 2016 · 6:43 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001652923
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | holding | — | — | — | 0 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (Right to Buy)F1 | $18.17 | holding | — | — | — | — | Aug 11, 2025 | Common Stock | 164,059 | — | D |
Explanation of responses
- F141,014 shares will vest and become exercisable on August 3, 2016; the remaining shares will vest and become exercisable in 36 equal monthly installments thereafter until August 3, 2019, subject to the Reporting Person's continuous service with the Issuer on each such date.
Remarks
Exhibit List - Exhibit 24 - Power of Attorney