0001140361-14-031225.txt : 20140807
0001140361-14-031225.hdr.sgml : 20140807
20140807150559
ACCESSION NUMBER: 0001140361-14-031225
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: Schwartz Steven Daniel
CENTRAL INDEX KEY: 0001615096
FILING VALUES:
FORM TYPE: 3/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36579
FILM NUMBER: 141023429
MAIL ADDRESS:
STREET 1: C/O AVALANCHE BIOTECHNOLOGIES, INC.
STREET 2: 1035 O'BRIEN DRIVE, SUITE A
CITY: MENLO PARK
STATE: CA
ZIP: 94025
FORMER NAME:
FORMER CONFORMED NAME: Schwartz Steven David
DATE OF NAME CHANGE: 20140729
3/A
1
doc1.xml
FORM 3/A
X0206
3/A
2014-07-30
2014-07-30
0
0001501756
Avalanche Biotechnologies, Inc.
AAVL
0001615096
Schwartz Steven Daniel
C/O AVALANCHE BIOTECHNOLOGIES
1035 O'BRIEN DRIVE, SUITE A
MENLO PARK
CA
94025
1
0
0
0
Common Stock
500000
D
Series A Preferred Stock
0.00
Common Stock
18686
D
Series A Preferred Stock Purchase Warrant
1.45
Series A Preferred Stock
6620
D
Common Stock Purchase Warrant
0.15
Common Stock
34000
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 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 Steven Daniel Schwartz
2014-08-07