AVEXIS, INC. Forms 3, 4 and 5: Preferred Stock
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 DEERFIELD PARTNERS, LP | Deerfield Mgmt III, L.P. | DEERFIELD MANAGEMENT CO | Deerfield Private Design Fund III, L.P. | Deerfield Mgmt L.P. | Deerfield Special Situations Fund, L.P. | Deerfield International Master Fund, L.P. | Flynn James E; Form 4; Security Class B-1 Preferred Stock; Transaction C Conversion of derivative security.
- 2016-02-17: Reporting owner DEERFIELD PARTNERS, LP | Deerfield Mgmt III, L.P. | DEERFIELD MANAGEMENT CO | Deerfield Private Design Fund III, L.P. | Deerfield Mgmt L.P. | Deerfield Special Situations Fund, L.P. | Deerfield International Master Fund, L.P. | Flynn James E; Form 4; Security Class C Preferred Stock; Transaction C Conversion of derivative security.
- 2016-02-17: Reporting owner DEERFIELD PARTNERS, LP | Deerfield Mgmt III, L.P. | DEERFIELD MANAGEMENT CO | Deerfield Private Design Fund III, L.P. | Deerfield Mgmt L.P. | Deerfield Special Situations Fund, L.P. | Deerfield International Master Fund, L.P. | Flynn James E; Form 4; Security Class D Preferred Stock; Transaction C Conversion of derivative security.
- 2016-02-17: Reporting owner DEERFIELD PARTNERS, LP | Deerfield Mgmt III, L.P. | DEERFIELD MANAGEMENT CO | Deerfield Private Design Fund III, L.P. | Deerfield Mgmt L.P. | Deerfield Special Situations Fund, L.P. | Deerfield International Master Fund, L.P. | Flynn James E; Form 4; Security Class D Preferred Stock; Transaction C Conversion of derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2016-02-17 | DEERFIELD PARTNERS, LP | Deerfield Mgmt III, L.P. | DEERFIELD MANAGEMENT CO | Deerfield Private Design Fund III, L.P. | Deerfield Mgmt L.P. | Deerfield Special Situations Fund, L.P. | Deerfield International Master Fund, L.P. | Flynn James E | | | | | | | Director | 4 | Class B-1 Preferred Stock Derivative · Indirect · Through Deerfield Private Design Fund III, L.P. | C Conversion of derivative security | −67,448 0 owned after | no price filed | 2016-02-19 | |
| 2016-02-17 | DEERFIELD PARTNERS, LP | Deerfield Mgmt III, L.P. | DEERFIELD MANAGEMENT CO | Deerfield Private Design Fund III, L.P. | Deerfield Mgmt L.P. | Deerfield Special Situations Fund, L.P. | Deerfield International Master Fund, L.P. | Flynn James E | | | | | | | Director | 4 | Class C Preferred Stock Derivative · Indirect · Through Deerfield Private Design Fund III, L.P. | C Conversion of derivative security | −1,182,941 0 owned after | no price filed | 2016-02-19 | |
| 2016-02-17 | DEERFIELD PARTNERS, LP | Deerfield Mgmt III, L.P. | DEERFIELD MANAGEMENT CO | Deerfield Private Design Fund III, L.P. | Deerfield Mgmt L.P. | Deerfield Special Situations Fund, L.P. | Deerfield International Master Fund, L.P. | Flynn James E | | | | | | | Director | 4 | Class D Preferred Stock Derivative · Indirect · Through Deerfield Private Design Fund III, L.P. | C Conversion of derivative security | −117,996 0 owned after | no price filed | 2016-02-19 | |
| 2016-02-17 | DEERFIELD PARTNERS, LP | Deerfield Mgmt III, L.P. | DEERFIELD MANAGEMENT CO | Deerfield Private Design Fund III, L.P. | Deerfield Mgmt L.P. | Deerfield Special Situations Fund, L.P. | Deerfield International Master Fund, L.P. | Flynn James E | | | | | | | Director | 4 | Class D Preferred Stock Derivative · Indirect · Through Deerfield Special Situations Fund, L.P. | C Conversion of derivative security | −117,998 0 owned after | no price filed | 2016-02-19 | |
| 2016-02-10 holding as of filing | Deerfield Mgmt III, L.P. | Deerfield Mgmt L.P. | Flynn James E | Deerfield Private Design Fund III, L.P. | DEERFIELD MANAGEMENT CO | Deerfield Special Situations Fund, L.P. | | Director | | | | 3 | Class B-1 Preferred Stock Derivative · Indirect · Through Deerfield Private Design Fund III, L.P. | Holding | no price filed | 2016-02-10 | ||
| 2016-02-10 holding as of filing | Deerfield Mgmt III, L.P. | Deerfield Mgmt L.P. | Flynn James E | Deerfield Private Design Fund III, L.P. | DEERFIELD MANAGEMENT CO | Deerfield Special Situations Fund, L.P. | | Director | | | | 3 | Class C Preferred Stock Derivative · Indirect · Through Deerfield Private Design Fund III, L.P. | Holding | no price filed | 2016-02-10 | ||
| 2016-02-10 holding as of filing | Deerfield Mgmt III, L.P. | Deerfield Mgmt L.P. | Flynn James E | Deerfield Private Design Fund III, L.P. | DEERFIELD MANAGEMENT CO | Deerfield Special Situations Fund, L.P. | | Director | | | | 3 | Class D Preferred Stock Derivative · Indirect · Through Deerfield Private Design Fund III, L.P. | Holding | no price filed | 2016-02-10 | ||
| 2016-02-10 holding as of filing | Deerfield Mgmt III, L.P. | Deerfield Mgmt L.P. | Flynn James E | Deerfield Private Design Fund III, L.P. | DEERFIELD MANAGEMENT CO | Deerfield Special Situations Fund, L.P. | | Director | | | | 3 | Class D Preferred Stock Derivative · Indirect · Through Deerfield Special Situations Fund, L.P. | Holding | no price filed | 2016-02-10 | ||
| 2015-09-03 | DEERFIELD PARTNERS, LP | Deerfield Mgmt III, L.P. | DEERFIELD MANAGEMENT CO | Deerfield Private Design Fund III, L.P. | Deerfield Mgmt L.P. | Deerfield Special Situations Fund, L.P. | Deerfield International Master Fund, L.P. | Flynn James E | | | | | | | Director | 4 | Class D Preferred Stock Derivative · Indirect · Through Deerfield Private Design Fund III, L.P. | P Open market or private purchase of non-derivative or derivative security | +117,996 0 owned after | $21.01 | 2016-02-19 | |
| 2015-09-03 | DEERFIELD PARTNERS, LP | Deerfield Mgmt III, L.P. | DEERFIELD MANAGEMENT CO | Deerfield Private Design Fund III, L.P. | Deerfield Mgmt L.P. | Deerfield Special Situations Fund, L.P. | Deerfield International Master Fund, L.P. | Flynn James E | | | | | | | Director | 4 | Class D Preferred Stock Derivative · Indirect · Through Deerfield Special Situations Fund, L.P. | P Open market or private purchase of non-derivative or derivative security | +117,998 0 owned after | $21.01 | 2016-02-19 |