SEC Form 4 · accession 0001209191-16-098226
AveXis, Inc. · AVXS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jonathan S Leff
Director
Period of report
Feb 10, 2016
Accepted (ET)
Feb 12, 2016 · 6:09 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001652923
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy)F1,F2 | $20.00 | Feb 10, 2016 | A | 18,111 | A | — | Feb 10, 2026 | Common Stock | 18,111 | 18,111 | D |
| Stock Option (Right to Buy)F1,F3 | $20.00 | Feb 10, 2016 | A | 8,385 | A | — | Feb 10, 2026 | Common Stock | 8,385 | 8,385 | D |
Explanation of responses
- F1The Reporting Person, a partner in Deerfield Management Company, L.P., has no pecuniary interest in the securities reported herein and disclaims beneficial ownership of such securities.
- F2The option shall vest and become exercisable with respect to one-third of the shares on February 10, 2017; the remaining shares shall vest and become exercisable in twenty-four equal monthly installments thereafter, subject to the Reporting Person's Continuous Service, as that term is defined in the Issuer's 2016 Equity Incentive Plan (the "Plan") through each such date.
- F3The option shall vest and become exercisable (i) in twelve equal monthly installments beginning on March 10, 2016, or (ii) on the date of the Issuer's next annual stockholder meeting, whichever comes first, in each case subject to the Reporting Person's Continuous Service (as that term is defined in the Plan) through each such date.