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