SEC Form 4 · accession 0001209191-17-056661
AveXis, Inc. · AVXS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Brian K. Kaspar
Officer — Chief Scientific Officer · Director · 10% Owner
Period of report
Oct 9, 2017
Accepted (ET)
Oct 11, 2017 · 5:14 pm EDT
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 StockF2 | Oct 9, 2017 | S | 5,499 | $100.53 | D | 1,851,303 | D | |
| Common StockF3 | Oct 9, 2017 | S | 6,767 | $101.55 | D | 1,844,536 | D | |
| Common StockF4 | Oct 9, 2017 | S | 1,559 | $102.70 | D | 1,842,977 | D | |
| Common StockF5 | Oct 9, 2017 | S | 1,175 | $103.60 | D | 1,841,802 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1These sales were effected pursuant to a Rule 10b5-1 Sales Plan adopted by the Reporting Person on August 29, 2017.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $100.25 to $101.23, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in footnote (2) to this Form 4.
- F3The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $101.26 to $102.19, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in footnote (3) to this Form 4.
- F4The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $102.30 to $103.02, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in footnote (4) to this Form 4.
- F5The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $103.33 to $104.00, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in footnote (5) to this Form 4.