0001140361-14-031232.txt : 20140807 0001140361-14-031232.hdr.sgml : 20140807 20140807151109 ACCESSION NUMBER: 0001140361-14-031232 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140805 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: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36579 FILM NUMBER: 141023467 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 4 1 doc1.xml FORM 4 X0306 4 2014-08-05 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 2014-08-05 4 X 0 34000 0.15 A 534000 D Common Stock 2014-08-05 4 C 0 25306 A 559306 D Common Stock Purchase Warrant 0.15 2014-08-05 4 X 0 34000 D Common Stock 34000 0 D Series A Preferred Stock Purchase Warrant 1.45 2014-08-05 4 X 0 6620 D Series A Preferred Stock 6620 0 D Series A Preferred Stock 2014-08-05 4 X 0 6620 1.45 A Common Stock 6620 25306 D Series A Preferred Stock 2014-08-05 4 C 0 25306 D Common Stock 25306 0 D Each share of Series A Preferred and Series B Preferred Stock automatically converted into one share of Issuer's Common Stock upon the consummation of the Issuer's initial public offering (the "IPO"). 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. The Series A Preferred and Series B Preferred Stock automatically converted into shares of Issuer's Common Stock on a 1:1 basis upon the completion of Issuer's IPO. The expiration date is not relevant to the conversion of these securities. /s/ Michael Swartzburg, Attorney-in-Fact for Steven Schwartz 2014-08-07