SEC Form 4 · accession 0001209191-18-004225

AveXis, Inc. · AVXS

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

Reporting owner

James J Litalien

Officer — SrVP/Chief Reg&Quality Officer

Period of report

Jan 16, 2018

Accepted (ET)

Jan 18, 2018 · 4:01 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
Common Stock	Jan 16, 2018	M	5,000	$18.17	A	5,000	D
Common Stock^F2	Jan 16, 2018	S	496	$101.99	D	4,504	D
Common Stock^F3	Jan 16, 2018	S	464	$103.56	D	4,040	D
Common Stock^F4	Jan 16, 2018	S	1,074	$104.64	D	2,966	D
Common Stock^F5	Jan 16, 2018	S	624	$105.89	D	2,342	D
Common Stock	Jan 16, 2018	S	84	$106.49	D	2,258	D
Common Stock^F6	Jan 16, 2018	S	1,019	$108.14	D	1,239	D
Common Stock^F7	Jan 16, 2018	S	963	$109.75	D	276	D
Common Stock^F8	Jan 16, 2018	S	100	$110.30	D	176	D
Common Stock^F9	Jan 16, 2018	S	126	$111.41	D	50	D
Common Stock	Jan 16, 2018	S	50	$112.50	D	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)^F10	$18.17	Jan 16, 2018	M	5,000	D	—	Aug 11, 2025	Common Stock	5,000	146,800	D

Explanation of responses

F1These sales were effected pursuant to a Rule 10b5-1 Sales Plan adopted by the Reporting Person on September 13, 2017.
F1037,950 shares vested and became exercisable on July 20, 2016; the remaining shares will vest and become exercisable in 36 equal monthly installments thereafter until July 20, 2019, subject to the Reporting Person's continuous service with the Issuer on each such date.
F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $101.60 to $102.49, 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 $103.04 to $103.75, 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 $104.19 to $105.16, 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 $105.31 to $106.30, 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.
F6The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $107.75 to $108.52, 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 (6) to this Form 4.
F7The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $109.22 to $109.96, 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 (7) to this Form 4.
F8The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $110.30 to $110.31, 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 (8) to this Form 4.
F9The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $111.41 to $111.42, 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 (9) to this Form 4.