AveXis, Inc. 4
4 · AveXis, Inc. · Filed Feb 19, 2016
Insider Transaction Report
Form 4
AveXis, Inc.AVXS
Koh Bong Y
Director
Transactions
- Conversion
Common Stock
2016-02-17+418,158→ 935,657 total(indirect: See Footnote) - Purchase
Common Stock
2016-02-17$20.00/sh+100,000$2,000,000→ 1,035,657 total(indirect: See Footnote) - Conversion
Class B-1 Common Stock
2016-02-17−103,499→ 0 total(indirect: See Footnote)→ Common Stock (103,499 underlying) - Conversion
Class D Common Stock
2016-02-17−314,659→ 0 total(indirect: See Footnote)→ Common Stock (314,569 underlying)
Footnotes (7)
- [F1]The 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.
- [F2]Consists of (i) 665,721 shares held by VHCPII, and (ii) 269,936 shares held by Co-Invest II.
- [F3]71,150 of these shares were purchased by VHCPII and 28,850 of these shares were purchased by Co-Invest II.
- [F4]Consists of (i) 736,871 shares held by VHCPII, and (ii) 298,786 shares held by Co-Invest II.
- [F5]Each 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.
- [F6]Consists 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.
- [F7]Consists 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.