SEC Form 4 · accession 0001209191-16-100628

AveXis, Inc. · AVXS

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

Reporting owner

Director

Period of report

Feb 17, 2016

Accepted (ET)

Feb 19, 2016 · 5:03 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^F1,F2	Feb 17, 2016	C	418,158	$0.00	A	935,657	I	See Footnote
Common Stock^F3,F1,F4	Feb 17, 2016	P	100,000	$20.00	A	1,035,657	I	See Footnote

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Class B-1 Common Stock^F6,F1,F5	—	Feb 17, 2016	C	103,499	D	—	—	Common Stock	103,499	0	I
Class D Common Stock^F7,F1,F5	—	Feb 17, 2016	C	314,659	D	—	—	Common Stock	314,569	0	I

F1The 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.
F2Consists of (i) 665,721 shares held by VHCPII, and (ii) 269,936 shares held by Co-Invest II.
F371,150 of these shares were purchased by VHCPII and 28,850 of these shares were purchased by Co-Invest II.
F4Consists of (i) 736,871 shares held by VHCPII, and (ii) 298,786 shares held by Co-Invest II.
F5Each 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.
F6Consists 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.
F7Consists 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.