AVEXIS, INC. Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 35 rows in 2017. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2017-12-04: Reporting owner Knudten Andrew F.; Form 4; Security Employee Stock Option (Right to Buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2017-12-01: Reporting owner Nagendran Sukumar; Form 4; Security Employee Stock Option (Right to Buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2017-11-01: Reporting owner Nagendran Sukumar; Form 4; Security Employee Stock Option (Right to Buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2017-10-20: Reporting owner Donenberg Phillip B.; Form 3; Security Employee Stock Option (Right to Buy); Transaction Holding.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2017-12-04 | Knudten Andrew F. Officer (SrVP/Manufacture&Supply Chain) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,000 149,800 owned after | $18.17 exercise price | 2017-12-05 | |
| 2017-12-01 | Nagendran Sukumar Officer (Sr. VP & Chief Medical Officer) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,780 183,834 owned after | $18.47 exercise price | 2017-12-05 | |
| 2017-11-01 | Nagendran Sukumar Officer (Sr. VP & Chief Medical Officer) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,780 185,614 owned after | $18.47 exercise price | 2017-11-03 | |
| 2017-10-20 holding as of filing | Donenberg Phillip B. Officer (Chief Financial Officer) | 3 | Employee Stock Option (Right to Buy) Derivative · Direct | Holding | $37.58 exercise price | 2017-10-20 | ||
| 2017-10-20 holding as of filing | Donenberg Phillip B. Officer (Chief Financial Officer) | 3 | Employee Stock Option (Right to Buy) Derivative · Direct | Holding | $77.24 exercise price | 2017-10-20 | ||
| 2017-10-20 holding as of filing | Donenberg Phillip B. Officer (Chief Financial Officer) | 3 | Employee Stock Option (Right to Buy) Derivative · Direct | Holding | $88.08 exercise price | 2017-10-20 | ||
| 2017-10-19 | Donenberg Phillip B. Officer (Chief Financial Officer) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,000 10,000 owned after | $100.52 exercise price | 2017-10-20 | |
| 2017-10-02 | Nagendran Sukumar Officer (Sr. VP & Chief Medical Officer) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,780 187,394 owned after | $18.47 exercise price | 2017-10-03 | |
| 2017-09-01 | Nagendran Sukumar Officer (Sr. VP & Chief Medical Officer) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,780 189,174 owned after | $18.47 exercise price | 2017-09-05 | |
| 2017-08-01 | Nagendran Sukumar Officer (Sr. VP & Chief Medical Officer) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,780 190,954 owned after | $18.47 exercise price | 2017-08-03 | |
| 2017-07-03 | Nagendran Sukumar Officer (Sr. VP & Chief Medical Officer) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,780 192,734 owned after | $18.47 exercise price | 2017-07-05 | |
| 2017-06-01 | Nagendran Sukumar Officer (Sr. VP & Chief Medical Officer) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,780 194,514 owned after | $18.47 exercise price | 2017-06-02 | |
| 2017-05-30 | Siffert Joao MD Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,454 2,454 owned after | $69.25 exercise price | 2017-06-01 | |
| 2017-05-30 | Siffert Joao MD Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,301 5,301 owned after | $69.25 exercise price | 2017-06-01 | |
| 2017-05-30 | Verwiel Frank Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,454 2,454 owned after | $69.25 exercise price | 2017-06-01 | |
| 2017-05-30 | Manning Paul B | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,454 2,454 owned after | $69.25 exercise price | 2017-06-01 | |
| 2017-05-30 | Koh Bong Y Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,454 2,454 owned after | $69.25 exercise price | 2017-06-01 | |
| 2017-05-30 | Kearney Terrence C Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,454 2,454 owned after | $69.25 exercise price | 2017-06-01 | |
| 2017-05-30 | WELCH DANIEL G Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,454 2,454 owned after | $69.25 exercise price | 2017-06-01 | |
| 2017-05-10 | 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) | +27,827 27,827 owned after | $77.24 exercise price | 2017-05-12 | |
| 2017-05-10 | Smith Lori J. Officer (SVP-Chief Human Resource Off.) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,925 1,925 owned after | $77.24 exercise price | 2017-05-12 | |
| 2017-05-10 | 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) | +22,500 22,500 owned after | $77.24 exercise price | 2017-05-12 | |
| 2017-05-10 | Session R.A. II Officer (Sr. VP, Corp Strategy) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,282 1,282 owned after | $77.24 exercise price | 2017-05-12 | |
| 2017-05-10 | Kaspar Brian K. Director, Officer (Chief Scientific Officer), 10% Owner | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +32,501 32,501 owned after | $77.24 exercise price | 2017-05-12 | |
| 2017-05-10 | 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) | +25,200 25,200 owned after | $77.24 exercise price | 2017-05-12 | |
| 2017-05-10 | 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) | +27,827 27,827 owned after | $77.24 exercise price | 2017-05-12 | |
| 2017-05-10 | Modi Rick Officer (Chief Business Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +7,940 7,940 owned after | $77.24 exercise price | 2017-05-12 | |
| 2017-05-10 | 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) | +25,200 25,200 owned after | $77.24 exercise price | 2017-05-12 | |
| 2017-05-10 | 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) | +96,000 96,000 owned after | $77.24 exercise price | 2017-05-12 | |
| 2017-05-01 | Nagendran Sukumar Officer (Sr. VP & Chief Medical Officer) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,780 196,294 owned after | $18.47 exercise price | 2017-05-02 | |
| 2017-04-18 holding as of filing | Smith Lori J. Officer (SVP-Chief Human Resource Off.) | 3 | Employee Stock Option (Right to Buy) Derivative · Direct | Holding | $68.40 exercise price | 2017-04-18 | ||
| 2017-04-03 | Nagendran Sukumar Officer (Sr. VP & Chief Medical Officer) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,781 198,074 owned after | $18.47 exercise price | 2017-04-05 | |
| 2017-03-20 | Session R.A. II Officer (Sr. VP, Corp Strategy) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +35,950 35,950 owned after | $79.75 exercise price | 2017-03-23 | |
| 2017-02-13 | Modi Rick Officer (Chief Business Officer) | 4/A | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +61,000 61,000 owned after | $57.88 exercise price | 2017-02-16 | |
| 2017-02-13 | Modi Rick Officer (Chief Business Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +61,000 61,000 owned after | $57.79 exercise price | 2017-02-15 |