SEC Form 4 · accession 0001209191-18-018544

AveXis, Inc. · AVXS

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

Reporting owner

Sean P. Nolan

Officer — President & CEO · Director

Period of report

Mar 7, 2018

Accepted (ET)

Mar 9, 2018 · 5:04 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 7, 2018	M	10,000	$15.94	A	10,000	D
Common Stock^F2	Mar 7, 2018	S	400	$126.65	D	9,600	D
Common Stock^F3	Mar 7, 2018	S	700	$127.65	D	8,900	D
Common Stock^F4	Mar 7, 2018	S	2,400	$128.65	D	6,500	D
Common Stock^F5	Mar 7, 2018	S	4,800	$129.66	D	1,700	D
Common Stock^F6	Mar 7, 2018	S	600	$130.78	D	1,100	D
Common Stock^F7	Mar 7, 2018	S	1,100	$131.86	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)^F8	$15.94	Mar 7, 2018	M	10,000	D	—	Jun 10, 2025	Common Stock	10,000	728,300	D

Explanation of responses

F1These sales were effected pursuant to a Rule 10b5-1 Sales Plan adopted by the Reporting Person on November 29, 2017.
F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $126.15 to $126.93, 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 $127.17 to $127.995, 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 $128.21 to $129.16, 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 $129.23 to $130.225, 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 $130.32 to $131.17, 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 $131.33 to $132.10, 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.
F8184,575 shares vested and became exercisable on June 8, 2016; the remaining shares vest and become exercisable in 36 equal monthly installments thereafter until June 8, 2019, subject to the Reporting Person's continuous service with the Issuer on each such date.