0001140361-14-031223.txt : 20140807 0001140361-14-031223.hdr.sgml : 20140807 20140807150413 ACCESSION NUMBER: 0001140361-14-031223 CONFORMED SUBMISSION TYPE: 3/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140730 FILED AS OF DATE: 20140807 DATE AS OF CHANGE: 20140807 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Avalanche Biotechnologies, Inc. CENTRAL INDEX KEY: 0001501756 STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836] IRS NUMBER: 205258327 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1035 O?BRIEN DRIVE, SUITE A CITY: MENLO PARK STATE: CA ZIP: 94025 BUSINESS PHONE: 650-272-6269 MAIL ADDRESS: STREET 1: 1035 O?BRIEN DRIVE, SUITE A CITY: MENLO PARK STATE: CA ZIP: 94025 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Blumenkranz Mark S. CENTRAL INDEX KEY: 0001614869 FILING VALUES: FORM TYPE: 3/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-36579 FILM NUMBER: 141023419 MAIL ADDRESS: STREET 1: C/O AVALANCHE BIOTECHNOLOGIES, INC. STREET 2: 1035 O'BRIEN DRIVE, SUITE A CITY: MENLO PARK STATE: CA ZIP: 94025 3/A 1 doc1.xml FORM 3/A X0206 3/A 2014-07-30 2014-07-30 0 0001501756 Avalanche Biotechnologies, Inc. AAVL 0001614869 Blumenkranz Mark S. C/O AVALANCHE BIOTECHNOLOGIES, INC. 1035 O'BRIEN DRIVE, SUITE A MENLO PARK CA 94025 1 0 0 0 Common Stock 700000 D Series A Preferred Stock 0.00 Common Stock 15300 D Series A Preferred Stock 0.00 Common Stock 8394 I See Footnote Series A Preferred Stock 0.00 Common Stock 8394 I See Footnote Series A Preferred Stock 0.00 Common Stock 8394 I See Footnote Series A Preferred Stock Purchase Warrant 1.45 Series A Preferred Stock 5689 D Series A Preferred Stock Purchase Warrant 1.45 Series A Preferred Stock 4137 I See Footnote Series A Preferred Stock Purchase Warrant 1.45 Series A Preferred Stock 4137 I See Footnote Series A Preferred Stock Purchase Warrant 1.45 Series A Preferred Stock 4137 I See Footnote Common Stock Purchase Warrant 0.15 Common Stock 25000 D This amendment is being filed to report outstanding warrants as of the effective time of the Company's registration statement on Form S-1. Such warrants were exercised immediately prior to the closing of the Issuer's Initial Public Offering. The warrants were previously assumed exercised and the relevant shares of stock were included with the Reporting Person's outstanding stock amounts on the prior Form 3. Each share of Series A and Series B Preferred Stock will automatically convert on a one-to-one basis into Common Stock immediately prior to the consummation of the Issuer's initial public offering. The securities are immediately convertible. The expiration date is not relevant to the conversion of these securities. The shares are held directly by the Carla Helene Blumenkranz Irrevocable Trust. The shares are held directly by the Erik Davis Blumenkranz Irrevocable Trust. The shares are held directly by the Scott Aubrey Blumenkranz Irrevocable Trust The warrant is immediately exercisable in full. The warrant expires upon the consummation of the issuer's Initial Public Offering to the extent not previously exercised. /s/ Michael Swartzburg, Attorney-in-Fact for Mark Blumenkranz 2014-08-07