AVEXIS, INC. Forms 3, 4 and 5: Other
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 10 rows, 10 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2016-02-17: Reporting owner Manning Paul B | PBM Capital Investments, LLC; Form 4; Security Class B-1 Common Stock; Transaction C Conversion of derivative security.
- 2016-02-17: Reporting owner Manning Paul B | PBM Capital Investments, LLC; Form 4; Security Class B-1 Common Stock; Transaction C Conversion of derivative security.
- 2016-02-17: Reporting owner Manning Paul B | PBM Capital Investments, LLC; Form 4; Security Class B-1 Common Stock; Transaction C Conversion of derivative security.
- 2016-02-17: Reporting owner Koh Bong Y; Form 4; Security Class B-1 Common Stock; Transaction C Conversion of derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2016-02-17 | Manning Paul B | PBM Capital Investments, LLC | Other (Former 10% Owner) | 4 | Class B-1 Common Stock Derivative · Direct · (m) | C Conversion of derivative security | −8,469 0 owned after | $0.00 | 2016-02-19 | |
| 2016-02-17 | Manning Paul B | PBM Capital Investments, LLC | Other (Former 10% Owner) | 4 | Class B-1 Common Stock Derivative · Indirect · (m) | C Conversion of derivative security | −941 0 owned after | $0.00 | 2016-02-19 | |
| 2016-02-17 | Manning Paul B | PBM Capital Investments, LLC | Other (Former 10% Owner) | 4 | Class B-1 Common Stock Derivative · Indirect · (m) | C Conversion of derivative security | −1,659,237 0 owned after | $0.00 | 2016-02-19 | |
| 2016-02-17 | Koh Bong Y Director | 4 | Class B-1 Common Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −103,499 0 owned after | $0.00 | 2016-02-19 | |
| 2016-02-17 | Koh Bong Y Director | 4 | Class D Common Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −314,659 0 owned after | $0.00 | 2016-02-19 | |
| 2016-02-10 holding as of filing | Koh Bong Y Director | 3 | Class B-1 Common Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2016-02-10 | ||
| 2016-02-10 holding as of filing | Koh Bong Y Director | 3 | Class D Common Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2016-02-10 | ||
| 2016-02-10 holding as of filing | PBM Capital Investments, LLC | Manning Paul B 10% Owner | Director, 10% Owner | 3 | Class B-1 Common Stock Derivative · Direct · (m) | Holding | no price filed | 2016-02-10 | ||
| 2016-02-10 holding as of filing | PBM Capital Investments, LLC | Manning Paul B 10% Owner | Director, 10% Owner | 3 | Class B-1 Common Stock Derivative · Indirect · (m) | Holding | no price filed | 2016-02-10 | ||
| 2016-02-10 holding as of filing | PBM Capital Investments, LLC | Manning Paul B 10% Owner | Director, 10% Owner | 3 | Class B-1 Common Stock Derivative · Indirect · (m) | Holding | no price filed | 2016-02-10 |