SEC Form 4 · accession 0001209191-18-016481

AveXis, Inc. · AVXS

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

Reporting owner

Sukumar Nagendran

Officer — Sr. VP & Chief Medical Officer

Period of report

Mar 1, 2018

Accepted (ET)

Mar 5, 2018 · 4:36 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	Mar 1, 2018	M	1,780	$18.47	A	1,780	D
Common Stock^F2	Mar 1, 2018	S	74	$121.51	D	1,706	D
Common Stock^F3	Mar 1, 2018	S	120	$123.16	D	1,586	D
Common Stock^F4	Mar 1, 2018	S	175	$124.29	D	1,411	D
Common Stock^F5	Mar 1, 2018	S	449	$125.72	D	962	D
Common Stock^F6	Mar 1, 2018	S	504	$126.95	D	458	D
Common Stock^F7	Mar 1, 2018	S	408	$127.99	D	50	D
Common Stock^F8	Mar 1, 2018	S	50	$128.91	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)^F9	$18.47	Feb 1, 2018	M	1,780	D	—	Oct 13, 2025	Common Stock	1,780	178,494	D

Explanation of responses

F1These sales were effected pursuant to a Rule 10b5-1 Sales Plan adopted by the Reporting Person on December 2, 2016.
F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $121.50 to $121.51, 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 $122.51 to $123.50, 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 $124.08 to $124.64, 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 $125.19 to $126.06, 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 $126.52 to $127.46, 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 $127.59 to $128.43, 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 $128.91 to $128.92, 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.
F949,963 shares vested and became exercisable on September 14, 2016; the remaining shares will vest and become exercisable in 36 equal monthly installments thereafter until September 14, 2019, subject to the Reporting Person's continuous service with the Issuer on each such date.