0001209191-16-100634.txt : 20160219
0001209191-16-100634.hdr.sgml : 20160219
20160219170436
ACCESSION NUMBER: 0001209191-16-100634
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20160217
FILED AS OF DATE: 20160219
DATE AS OF CHANGE: 20160219
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: AveXis, Inc.
CENTRAL INDEX KEY: 0001652923
STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836]
IRS NUMBER: 901038273
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 2275 HALF DAY ROAD
STREET 2: SUITE 160
CITY: BANNOCKBURN
STATE: IL
ZIP: 60015
BUSINESS PHONE: 972-725-7797
MAIL ADDRESS:
STREET 1: 2275 HALF DAY ROAD
STREET 2: SUITE 160
CITY: BANNOCKBURN
STATE: IL
ZIP: 60015
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: PBM Capital Investments, LLC
CENTRAL INDEX KEY: 0001665309
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37693
FILM NUMBER: 161442658
BUSINESS ADDRESS:
STREET 1: 200 GARRETT STREET
STREET 2: SUITE S
CITY: CHARLOTTESVILLE
STATE: VA
ZIP: 22902
BUSINESS PHONE: 847-572-8280
MAIL ADDRESS:
STREET 1: C/O AVEXIS, INC., 2275 HALF DAY ROAD
STREET 2: SUITE 160
CITY: BANNOCKBURN
STATE: IL
ZIP: 60015
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Manning Paul B
CENTRAL INDEX KEY: 0001494695
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37693
FILM NUMBER: 161442659
MAIL ADDRESS:
STREET 1: 200 GARRETT STREET SUITE S
CITY: CHARLOTTESVILLE
STATE: VA
ZIP: 22902
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2016-02-17
0
0001652923
AveXis, Inc.
AVXS
0001494695
Manning Paul B
C/O AVEXIS, INC.
2275 HALF DAY ROAD, SUITE 160
BANNOCKBURN
IL
60015
1
0
0
1
Former 10% Owner
0001665309
PBM Capital Investments, LLC
C/O AVEXIS, INC.
2275 HALF DAY ROAD, SUITE 160
BANNOCKBURN
IL
60015
0
0
0
1
Former 10% Owner
Common Stock
2016-02-17
4
C
0
8469
A
227646
D
Common Stock
2016-02-17
4
C
0
941
A
25293
I
By LLC
Common Stock
2016-02-17
4
C
0
1659237
A
1659237
I
By LLC
Class B-1 Common Stock
2016-02-17
4
C
0
8469
0.00
D
Common Stock
8469
0
D
Class B-1 Common Stock
2016-02-17
4
C
0
941
0.00
D
Common Stock
941
0
I
By LLC
Class B-1 Common Stock
2016-02-17
4
C
0
1659237
0.00
D
Common Stock
1659237
0
I
By LLC
Warrants to purchase Class B-2 Common Stock (Right to Buy)
2.57
2016-02-17
4
C
0
130623
0.00
D
2024-03-07
Class B-2 Common Stock
130623
0
I
By LLC
Warrants to purchase Class B-2 Common Stock (Right to Buy)
2.57
2016-02-17
4
C
0
137154
0.00
D
2025-05-04
Class B-2 Common Stock
137154
0
I
By LLC
Warrants to purchase Common Stock (Right to Buy)
2.57
2016-02-17
4
C
0
130623
0.00
A
2024-03-07
Common Stock
130623
130623
I
By LLC
Warrants to purchase Common Stock (Right to Buy)
2.57
2016-02-17
4
C
0
137154
0.00
A
2025-05-04
Common Stock
137154
137154
I
By LLC
Each share of the Class B-1 Common Stock and the Class B-2 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 B-2 Common Stock had no expiration date.
These shares are held by Mr. Manning together with his spouse as Joint Tenants with Right of Survivorship.
These shares are held by BKB Growth Investments, LLC ("BKB"). Mr. Manning is a co-manager of BKB and, as such, has unilateral voting and investment power with respect to the shares held by BKB. Mr. Manning disclaims beneficial ownership of the shares held by BKB except to the extent of his pecuniary interest therein, and the inclusion of the securities in this report shall not be deemed an admission of beneficial ownership of all of the reported securities for purposes of Section 16 or for any other purpose.
These shares are held by PBM Capital Investments, LLC ("PBM"). Mr. Manning has the sole voting and investment power with respect to the shares held by the PBM. Mr. Manning disclaims beneficial ownership of the shares held by PBM except to the extent of his pecuniary interest therein, and the inclusion of the securities in this report shall not be deemed an admission of beneficial ownership of all of the reported securities for purposes of Section 16 or for any other purpose.
Immediately exercisable.
These Warrants are held by PBM. Mr. Manning has the sole voting and investment power with respect to the shares issuable upon exercise of the Warrants held by PBM. Mr. Manning disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of the securities in this report shall not be deemed an admission of beneficial ownership of all of the reported securities for purposes of Section 16 or for any other purpose.
As of the date of event requiring this filing, the Reporting Persons are no longer 10% owners of the equity securities of the Issuer and, accordingly, they are not subject Section 16 reporting in connection with their transactions in the equity securities of the Issuer. However, Mr. Manning, a director of the Issuer, continues to have a filing obligation under Section 16 and will continue to report any such transactions on Form 4 or Form 5.
/s/ Madison Jones, Attorney-in-Fact
2016-02-19
/s/ Madison Jones, Attorney-in-Fact
2016-02-19