0001209191-18-022241.txt : 20180330 0001209191-18-022241.hdr.sgml : 20180330 20180330175147 ACCESSION NUMBER: 0001209191-18-022241 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180313 FILED AS OF DATE: 20180330 DATE AS OF CHANGE: 20180330 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: 18726821 MAIL ADDRESS: STREET 1: 200 GARRETT STREET SUITE S CITY: CHARLOTTESVILLE STATE: VA ZIP: 22902 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 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2018-03-13 0 0001652923 AveXis, Inc. AVXS 0001494695 Manning Paul B C/O AVEXIS, INC. 2275 HALF DAY ROAD, SUITE 200 BANNOCKBURN IL 60015 1 0 0 1 Former 10% Owner Common Stock 2018-03-13 4 A 0 1106 0.00 A 228752 D Common Stock 1201160 I By LLC Common Stock 25293 I By LLC Stock Option (Right to Buy) 133.80 2018-03-13 4 A 0 2905 0.00 A 2028-03-13 Common Stock 2905 2905 D These shares are represented by restricted stock units. Each restricted stock unit represents a contingent right to receive one share of common stock of the Issuer. The shares underlying this restricted stock award will vest on March 13, 2019, subject to the Reporting Person's continuous service with the Issuer on such date. These shares are held by PBM Capital Investments, LLC ("PBM"). The Reporting Person has the sole voting and investment power with respect to the shares held by the PBM. The Reporting Person 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. These shares are held by BKB Growth Investments, LLC ("BKB"). The Reporting Person is a co-manager of BKB and, as such, has unilateral voting and investment power with respect to the shares held by BKB. The Reporting Person 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. This option shall vest and become exercisable on March 13, 2019, subject to the Reporting Person's continuous service with the Issuer on such date. /s/ Madison Jones, Attorney-in-Fact 2018-03-30