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