0001140361-14-031233.txt : 20140807 0001140361-14-031233.hdr.sgml : 20140807 20140807151147 ACCESSION NUMBER: 0001140361-14-031233 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: Wachter Paul CENTRAL INDEX KEY: 0001504491 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36579 FILM NUMBER: 141023470 MAIL ADDRESS: STREET 1: C/O TIME WARNER INC. STREET 2: ONE TIME WARNER CENTER CITY: NEW YORK STATE: NY ZIP: 10019 4 1 doc1.xml FORM 4 X0306 4 2014-08-05 0 0001501756 Avalanche Biotechnologies, Inc. AAVL 0001504491 Wachter Paul C/O AVALANCHE BIOTECHNOLOGIES, INC. 1035 O'BRIEN DRIVE, SUITE A MENLO PARK CA 94025 1 0 0 0 Common Stock 2014-08-05 4 C 0 63081 A 63081 I See Footnote Series B Preferred Stock 2014-08-05 4 C 0 63081 D Common Stock 63081 0 I See Footnote 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 shares are held directly by the Wachter Family Trust. 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 Paul Wachter 2014-08-07