AVEXIS, INC. Forms 3, 4 and 5: Warrants
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 8 rows, 8 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2018-05-15: Reporting owner Manning Paul B; Form 4; Security Warrant (Right to Buy); Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2018-05-15: Reporting owner Manning Paul B; Form 4; Security Warrant (Right to Buy); Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2016-02-17: Reporting owner Manning Paul B | PBM Capital Investments, LLC; Form 4; Security Warrants to purchase Class B-2 Common Stock (Right to Buy); Transaction C Conversion of derivative security.
- 2016-02-17: Reporting owner Manning Paul B | PBM Capital Investments, LLC; Form 4; Security Warrants to purchase Class B-2 Common Stock (Right to Buy); Transaction C Conversion of derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2018-05-15 | Manning Paul B | 4 | Warrant (Right to Buy) Derivative · Indirect · (m) | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −137,154 0 owned after | $2.57 exercise price | 2018-05-15 | |
| 2018-05-15 | Manning Paul B | 4 | Warrant (Right to Buy) Derivative · Indirect · (m) | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −103,478 0 owned after | $2.57 exercise price | 2018-05-15 | |
| 2016-02-17 | Manning Paul B | PBM Capital Investments, LLC | Other (Former 10% Owner) | 4 | Warrants to purchase Class B-2 Common Stock (Right to Buy) Derivative · Indirect · (m) | C Conversion of derivative security | −130,623 0 owned after | $2.57 exercise price | 2016-02-19 | |
| 2016-02-17 | Manning Paul B | PBM Capital Investments, LLC | Other (Former 10% Owner) | 4 | Warrants to purchase Class B-2 Common Stock (Right to Buy) Derivative · Indirect · (m) | C Conversion of derivative security | −137,154 0 owned after | $2.57 exercise price | 2016-02-19 | |
| 2016-02-17 | Manning Paul B | PBM Capital Investments, LLC | Other (Former 10% Owner) | 4 | Warrants to purchase Common Stock (Right to Buy) Derivative · Indirect · (m) | C Conversion of derivative security | +130,623 130,623 owned after | $2.57 exercise price | 2016-02-19 | |
| 2016-02-17 | Manning Paul B | PBM Capital Investments, LLC | Other (Former 10% Owner) | 4 | Warrants to purchase Common Stock (Right to Buy) Derivative · Indirect · (m) | C Conversion of derivative security | +137,154 137,154 owned after | $2.57 exercise price | 2016-02-19 | |
| 2016-02-10 holding as of filing | PBM Capital Investments, LLC | Manning Paul B 10% Owner | Director, 10% Owner | 3 | Warrants to purchase Class B-2 Common Stock (Right to Buy) Derivative · Indirect · (m) | Holding | $2.57 exercise price | 2016-02-10 | ||
| 2016-02-10 holding as of filing | PBM Capital Investments, LLC | Manning Paul B 10% Owner | Director, 10% Owner | 3 | Warrants to purchase Class B-2 Common Stock (Right to Buy) Derivative · Indirect · (m) | Holding | $2.57 exercise price | 2016-02-10 |