0001214659-17-000638.txt : 20170202 0001214659-17-000638.hdr.sgml : 20170202 20170202102828 ACCESSION NUMBER: 0001214659-17-000638 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20170202 DATE AS OF CHANGE: 20170202 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: AveXis, Inc. CENTRAL INDEX KEY: 0001652923 STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836] IRS NUMBER: 901038273 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-89404 FILM NUMBER: 17567118 BUSINESS ADDRESS: STREET 1: 2275 HALF DAY ROAD STREET 2: SUITE 160 CITY: BANNOCKBURN STATE: IL ZIP: 60015 BUSINESS PHONE: 972-725-7797 MAIL ADDRESS: STREET 1: 2275 HALF DAY ROAD STREET 2: SUITE 160 CITY: BANNOCKBURN STATE: IL ZIP: 60015 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: JDH Investment Management, LLC CENTRAL INDEX KEY: 0001696657 IRS NUMBER: 208759359 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 12200 STEMMONS FREEWAY, SUITE 100 CITY: DALLAS STATE: TX ZIP: 75234 BUSINESS PHONE: (972) 888-8199 MAIL ADDRESS: STREET 1: 12200 STEMMONS FREEWAY, SUITE 100 CITY: DALLAS STATE: TX ZIP: 75234 SC 13G/A 1 d21172sc13ga1.htm AMENDMENT NO. 1

UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C.  20549

SCHEDULE 13G/A

Under the Securities Exchange Act of 1934
(Amendment No. 1)*

AveXis, Inc.
(Name of Issuer)
 
Common Stock
(Title of Class of Securities)

 
05366U100
 
 
(CUSIP Number)
 
 
January 31, 2017
(Date of Event Which Requires Filing of This Statement)

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

 
Rule 13d-1(b)
     
 
☐ 
Rule 13d-1(c)
     
 
Rule 13d-1(d)


*The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page.

The information required in the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).
    

    
Page 1 of 6

    
CUSIP No.  05366U100
1
NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
 
JDH Investment Management, LLC
20-8759359
2
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (see instructions)
 
 
(a) ☐
(b) ☒
3
SEC USE ONLY
 
 
4
CITIZENSHIP OR PLACE OF ORGANIZATION
 
Delaware
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH REPORTING
PERSON WITH:
5
SOLE VOTING POWER
 
1,380,000
6
SHARED VOTING POWER
 
0
7
SOLE DISPOSITIVE POWER
 
1,380,000
8
SHARED DISPOSITIVE POWER
 
0
9
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
 
1,380,000
10
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (see instructions)
  
11
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
 
4.99%
12
TYPE OF REPORTING PERSON (see instructions)
 
OO
    
Page 2 of 6

    
Item 1(a).
Name of Issuer:
   
 
AveXis, Inc.
   
Item 1(b).
Address of Issuer’s Principal Executive Offices:
   
 
2275 Half Day Road, Bannockburn, Illinois 60015
   
Item 2(a).
Name of Person Filing:
   
 
JDH Investment Management, LLC
   
Item 2(b).
Address of Principal Business Office or, if none, Residence:
   
 
12200 Stemmons Freeway, Suite 100, Dallas, Texas 75234
   
Item 2(c).
Citizenship:
   
 
Delaware, USA
   
Item 2(d).
Title of Class of Securities:
   
 
Common Stock
   
Item 2(e).
CUSIP Number:  05366U100
    
Page 3 of 6

    
Item 3.
If this Statement is filed pursuant to 240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a:
 
(a)
☐ 
Broker or dealer registered under Section 15 of the Act;
 
(b)
☐ 
Bank as defined in Section 3(a)(6) of the Act;
 
(c)
☐ 
Insurance company as defined in Section 3(a)(19) of the Act;
 
(d)
☐ 
Investment company registered under Section 8 of the Investment Company Act of 1940;
 
(e)
☐ 
An investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E);
 
(f)
☐ 
An employee benefit plan or endowment fund in accordance with Rule 13d-1(b)(1)(ii)(F);
 
(g)
☐ 
A parent holding company or control person in accordance with Rule 13d-1(b)(1)(ii)(G);
 
(h)
☐ 
A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);
 
(i)
☐ 
A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940;
 
(j)
☐ 
A non-U.S. institution in accordance with Rule 240.13d-1(b)(1)(ii)(J);
 
(k)
☐ 
Group, in accordance with Rule 240.13d-1(b)(1)(ii)(K). If filing as a non-U.S. institution in accordance with Rule 240.13d-1(b)(1)(ii)(J), please specify the type of institution:      
         
Item 4.
Ownership.
 
Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1.
 
(a)
Amount Beneficially Owned:
1,380,000
 
(b)
Percent of Class:
4.99%
 
(c)
Number of shares as to which such person has:
   
(i)
sole power to vote or to direct the vote:
1,380,000
   
(ii)
shared power to vote or to direct the vote:
0
   
(iii)
sole power to dispose or to direct the disposition of:
1,380,000
   
(iv)
shared power to dispose or to direct the disposition of:
0
  
Page 4 of 6

 
Item 5.
Ownership of Five Percent or Less of a Class.
   
 
If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following ☒.
   
 Item 6.
Ownership of More than Five Percent on Behalf of Another Person.
   
 
John D. Harkey, Jr., in his capacities as the sole manager of JDH Investment Management, LLC and as the sole trustee and sole beneficiary of The Katemcy Trust, and such trust in its capacity as the sole member of JDH Investment Management, LLC, have the right to receive or the power to direct the receipt of dividends from, or the proceeds of the sale of, all of such shares of AveXis, Inc. common stock.
   
Item 7.
Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company.
   
 
Not applicable.
   
Item 8.
Identification and Classification of Members of the Group.
   
 
Not applicable.
   
Item 9.
Notice of Dissolution of Group.
   
 
Not applicable.
         
Item 10.
Certification.
   
 
By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and were not acquired and are not held for the purpose of and do not have the effect of changing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having such purpose or effect for the time being.
     
Page 5 of 6

   
SIGNATURE

After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.

 
2/1/2017
 
 
Date
 
     
 
/s/ JDH Investment Management, LLC,
John D. Harkey, Jr.
 
 
Signature
 
     
 
John D. Harkey, Jr., Manager
 
 
Name/Title
 
    
    
Page 6 of 6