0001140361-15-016257.txt : 20150423
0001140361-15-016257.hdr.sgml : 20150423
20150423165834
ACCESSION NUMBER: 0001140361-15-016257
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20150421
FILED AS OF DATE: 20150423
DATE AS OF CHANGE: 20150423
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: Gasmi Mehdi
CENTRAL INDEX KEY: 0001614875
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36579
FILM NUMBER: 15789113
MAIL ADDRESS:
STREET 1: C/O AVALANCHE BIOTECHNOLOGIES, INC.
STREET 2: 1035 O'BRIEN DRIVE, SUITE A
CITY: MENLO PARK
STATE: CA
ZIP: 94025
4
1
doc1.xml
FORM 4
X0306
4
2015-04-21
0
0001501756
Avalanche Biotechnologies, Inc.
AAVL
0001614875
Gasmi Mehdi
C/O AVALANCHE BIOTECHNOLOGIES, INC.
1035 O'BRIEN DRIVE, SUITE A
MENLO PARK
CA
94025
0
1
0
0
VP, Pharmaceutical Development
Common Stock
2015-04-21
4
M
0
1000
2.75
A
1000
D
Common Stock
2015-04-21
4
S
0
1000
39.2114
D
0
D
Common Stock
2015-04-21
4
A
0
7000
0.00
A
7000
D
Stock Option (Right to Buy)
2.75
2015-04-21
4
M
0
1000
0.00
D
2024-03-04
Common Stock
1000
99000
D
Stock Option (Right to Buy)
39.35
2015-04-21
4
A
0
20000
0.00
A
2025-04-20
Common Stock
20000
20000
D
Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person.
This transaction was executed in multiple trades in prices ranging from $39.02 to $39.51, inclusive. The price reported in Column 4 above reflects the weighted average sales price. The Reporting Person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote.
Restricted Stock Units ("RSUs"). The Reporting Person is entitled to receive one (1) share of Common Stock of the Issuer for each one (1) RSU upon the vesting thereof. Such RSUs vest with respect to 25% of the shares subject thereto on each of the first, second, third and fourth anniversary of April 21, 2015.
Twenty-five percent (25%) of the shares subject to the option vest and become exercisable on the first anniversary measured from March 5, 2014, and the remaining shares subject to the option vest and become exercisable in 36 successive, equal monthly installments thereafter, subject to the Reporting Person's continued employment or service relationship with the Issuer on each such vesting date.
Twenty-five percent (25%) of the shares subject to the option vest and become exercisable on the first anniversary measured from April 21, 2015, and the remaining shares subject to the option vest and become exercisable in 36 successive, equal monthly installments thereafter, subject to the Reporting Person's continued employment or service relationship with the Issuer on each such vesting date.
/s/ Michael Swartzburg, Attorney-in-Fact for Mehdi Gasmi
2015-04-23