AVEXIS, INC. Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 27 rows in 2016. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2016-07-05: Reporting owner Johannesen Michael; Form 4; Security Employee Stock Option (Right to Buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2016-06-20: Reporting owner Knudten Andrew F.; Form 4; Security Employee Stock Option (Right to Buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2016-06-20: Reporting owner LITALIEN JAMES J; Form 4; Security Employee Stock Option (Right to Buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2016-06-20: Reporting owner Nagendran Sukumar; Form 4; Security Employee Stock Option (Right to Buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2016-07-05 | Johannesen Michael Officer (General Counsel) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +44,700 44,700 owned after | $36.02 exercise price | 2016-07-07 | |
| 2016-06-20 | Knudten Andrew F. Officer (SrVP/Manufacture&Supply Chain) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +37,750 37,750 owned after | $42.61 exercise price | 2016-06-22 | |
| 2016-06-20 | LITALIEN JAMES J Officer (SrVP/Chief Reg&Quality Officer) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +37,750 37,750 owned after | $42.61 exercise price | 2016-06-22 | |
| 2016-06-20 | Nagendran Sukumar Officer (Sr. VP & Chief Medical Officer) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +37,750 37,750 owned after | $42.61 exercise price | 2016-06-22 | |
| 2016-06-20 | Dee Thomas J. Officer (Sr. VP & CFO) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +37,750 37,750 owned after | $42.61 exercise price | 2016-06-22 | |
| 2016-06-20 | Nolan Sean P. Director, Officer (President & CEO) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +110,000 110,000 owned after | $42.61 exercise price | 2016-06-22 | |
| 2016-02-10 | Flynn James E | DEERFIELD MANAGEMENT CO Director | | 4 | Stock Option (Right to Buy) Derivative · Indirect · Through Deerfield Management Company, L.P. | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | −18,111 18,111 owned after | $20.00 exercise price | 2016-02-12 | |
| 2016-02-10 | Flynn James E | DEERFIELD MANAGEMENT CO Director | | 4 | Stock Option (Right to Buy) Derivative · Indirect · Through Deerfield Management Company, L.P. | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | −8,385 8,385 owned after | $20.00 exercise price | 2016-02-12 | |
| 2016-02-10 | WELCH DANIEL G Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +27,167 27,167 owned after | $20.00 exercise price | 2016-02-12 | |
| 2016-02-10 | WELCH DANIEL G Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8,385 8,385 owned after | $20.00 exercise price | 2016-02-12 | |
| 2016-02-10 | Verwiel Frank Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +18,111 18,111 owned after | $20.00 exercise price | 2016-02-12 | |
| 2016-02-10 | Verwiel Frank Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8,385 8,385 owned after | $20.00 exercise price | 2016-02-12 | |
| 2016-02-10 | Koh Bong Y Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +18,111 18,111 owned after | $20.00 exercise price | 2016-02-12 | |
| 2016-02-10 | Koh Bong Y Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8,385 8,385 owned after | $20.00 exercise price | 2016-02-12 | |
| 2016-02-10 | Nuechterlein Carole Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +18,111 18,111 owned after | $20.00 exercise price | 2016-02-12 | |
| 2016-02-10 | Nuechterlein Carole Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8,385 8,385 owned after | $20.00 exercise price | 2016-02-12 | |
| 2016-02-10 | LEFF JONATHAN S Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +18,111 18,111 owned after | $20.00 exercise price | 2016-02-12 | |
| 2016-02-10 | LEFF JONATHAN S Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8,385 8,385 owned after | $20.00 exercise price | 2016-02-12 | |
| 2016-02-10 | Manning Paul B Director, 10% Owner | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +18,111 18,111 owned after | $20.00 exercise price | 2016-02-12 | |
| 2016-02-10 | Manning Paul B Director, 10% Owner | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8,385 8,385 owned after | $20.00 exercise price | 2016-02-12 | |
| 2016-02-10 | Kearney Terrence C Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +18,111 18,111 owned after | $20.00 exercise price | 2016-02-12 | |
| 2016-02-10 | Kearney Terrence C Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8,385 8,385 owned after | $20.00 exercise price | 2016-02-12 | |
| 2016-02-10 holding as of filing | Knudten Andrew F. Officer (SrVP/Manufacture&Supply Chain) | 3 | Employee Stock Option (Right to Buy) Derivative · Direct | Holding | $18.17 exercise price | 2016-02-10 | ||
| 2016-02-10 holding as of filing | LITALIEN JAMES J Officer (SrVP/Chief Reg&Quality Officer) | 3 | Employee Stock Option (Right to Buy) Derivative · Direct | Holding | $18.17 exercise price | 2016-02-10 | ||
| 2016-02-10 holding as of filing | Nagendran Sukumar Officer (Sr. VP & Chief Medical Officer) | 3 | Employee Stock Option (Right to Buy) Derivative · Direct | Holding | $18.47 exercise price | 2016-02-10 | ||
| 2016-02-10 holding as of filing | Dee Thomas J. Officer (Sr. VP & CFO) | 3 | Employee Stock Option (Right to Buy) Derivative · Direct | Holding | $18.17 exercise price | 2016-02-10 | ||
| 2016-02-10 holding as of filing | Nolan Sean P. Director, Officer (President & CEO) | 3 | Employee Stock Option (Right to Buy) Derivative · Direct | Holding | $15.94 exercise price | 2016-02-10 |