SEC Filings

S-1
AVEXIS, INC. filed this Form S-1 on 01/15/2016
Entire Document
 

Table of Contents

owned by the stockholder unless noted otherwise, subject to community property laws where applicable.

 
   
  PERCENTAGE OF
SHARES BENEFICIALLY
OWNED
 
 
 
NUMBER OF
SHARES
BENEFICIALLY
OWNED
 
NAME AND ADDRESS OF BENEFICIAL OWNER
 
BEFORE
OFFERING
 
AFTER
OFFERING
 

Greater than 5% stockholders

                   

JDH Investment Management, LLC(1)

    1,222,411     9.5 %                 %

Stockholders affiliated with PBM Capital Group(2)

    1,928,259     15.0 %                 %

Stockholders affiliated with Deerfield Management(3)

    1,268,268     9.9 %                 %

Roche Finance Ltd(4)

    1,082,496     8.4 %                 %

Stockholders affiliated with Venrock(5)

    678,014     5.3 %                 %

Stockholders affiliated with T. Rowe Price(6)

    689,655     5.4 %                 %

White Rock Capital Partners, LP(7)

    852,800     6.6 %                 %

NRM VII Holdings I, LLC(8)

    852,800     6.6 %                 %

Directors and Named Executive Officers

   
 
   
 
   
 
 

John A. Carbona(9)

    972,410     7.6 %                 %

Sean P. Nolan

        *     *  

Thomas J. Dee

        *     *  

Sukumar Nagendran

        *     *  

Brian K. Kaspar, Ph.D.(10)

    1,345,509     10.5 %                 %

Terrence C. Kearney

        *     *  

Paul B. Manning(2)

    1,928,259     15.0 %                 %

Jonathan Leff(3)

    1,268,268     9.9 %                 %

Carole Nuechterlein

        *     *  

Bong Y. Koh(5)

    678,014     5.3 %                 %

Frank Verwiel

        *     *  

All current executive officers and directors as a group (12 persons)

    5,220,050     39.9 %                 %

*
Represents beneficial ownership of less than one percent

(1)
Consists of 1,075,783 shares of common stock and 146,628 shares of Class B-1 preferred stock. All such shares and rights are held by JDH Investment Management, LLC.

(2)
Consists of (a) 176,471 shares of common stock, 1,227,346 shares of Class B-1 preferred stock and 194,042 shares of Class B-2 preferred stock issuable upon the exercise of warrants held by PBM Capital Investments, LLC, and (b) an aggregate of 287,806 shares of Class B-1 preferred stock and an aggregate of 42,594 shares of Class B-2 preferred stock issuable upon the exercise of warrants held by the PBM Co-investors. Paul Manning, one of our directors, has sole voting and investment power with respect to shares held by PBM Capital Investments, LLC. Mr. Manning also has sole voting power and shared investment power with respect to shares held by the PBM Co-Investors.

(3)
Consists of (a) 95,588 shares of common stock, 48,876 shares of Class B-1 preferred stock, 857,205 shares of Class C preferred stock and 85,505 shares of Class D preferred stock held by Deerfield Private Design Fund III, L.P. ("Private Design Fund"), and (b) 95,588 shares of common stock and 85,506 shares of Class D preferred stock held by Deerfield Special Situations Fund, L.P. ("Special Situations Fund"). Deerfield Mgmt III, L.P is the general partner of Private Design Fund, and Deerfield Mgmt, L.P. is the general partner of Special Situations Fund. Deerfield Management Company, L.P. is the investment manager of each of Private Design Fund and Special Situations Fund. Mr. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt III, L.P., Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. Deerfield Mgmt III, L.P., Deerfield Management Company, L.P. and Mr. James E. Flynn may be deemed to beneficially own the securities held by Private Design Fund Deerfield Mgmt, L.P., Deerfield Management Company, L.P. and Mr. James E. Flynn may be deemed to beneficially

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