SEC Filings

S-1
AVEXIS, INC. filed this Form S-1 on 01/15/2016
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Table of Contents

    own the securities held by Special Situations Fund. The address of each of Private Design Fund and Special Situations Fund is c/o Deerfield Management Company, L.P., 780 Third Avenue, 37th Floor, New York, NY 10017.

(4)
Consists of 58,824 shares of common stock, 48,876 shares of Class B-1 preferred stock, 856,579 shares of Class C preferred stock and 118,217 shares of Class D preferred stock. Roche Finance Ltd is a wholly owned subsidiary of Roche Holding Ltd, a publicly-held corporation. The principal business address of Roche Finance Ltd is Grenzacherstrasse 122, 4070 Basel, Switzerland.

(5)
Consists of (a) 266,813 shares of common stock, 53,363 shares of Class B-1 preferred stock and 162,232 shares of Class D preferred stock held by Venrock Healthcare Capital Partners II, L.P. ("VHCP II"), and (b) 108,187 shares of common stock, 21,637 shares of Class B-1 preferred stock and 65,782 shares of Class D preferred stock held by VHCP Co-Investment Holdings II, LLC ("VHCP Co. II"). VHCP Management II, LLC ("VHCPM II") is the sole general partner of VHCP II and the manager of VHCP Co. II and may be deemed to beneficially own these shares. Anders D. Hove and Bong Y. Koh, one of our directors, are members of VHCPM II and may be deemed to benefically own the shares held by VHCP II and VHCP Co. II.

(6)
Consists of (a) 282,353 shares of Class D preferred stock held by T. Rowe Price Health Sciences Fund, Inc., (b) 16,119 shares of Class D preferred stock held by TD Mutual Funds — TD Health Sciences Fund, (c) 17,345 shares of Class D preferred stock held by VALIC Company I — Health Sciences Fund, (d) 14,742 shares of Class D preferred stock held by T. Rowe Price Health Sciences Portfolio, (e) 7,334 shares of Class D preferred stock held by John Hancock Variable Insurance Trust — Health Sciences Trust, (f) 6,935 shares of Class D preferred stock held by John Hancock Funds II — Health Sciences Fund, (g) 313,020 shares of Class D preferred stock held by T. Rowe Price New Horizons Fund, Inc., (h) 31,206 shares of Class D preferred stock held by T. Rowe Price New Horizons Trust, and (i) 601 shares of Class D preferred stock held by T. Rowe Price U.S. Equities Trust.

(7)
Consists of 632,859 shares of common stock and 219,941 shares of Class B-1 preferred stock.

(8)
Consists of 632,859 shares of common stock and 219,941 shares of Class B-1 preferred stock. NRM VII Holdings I LLC is managed by Third Security Capital Partners VII, LLC, which is managed by Third Security, LLC, which is managed by Randal J. Kirk.

(9)
Consists of 850,782 shares of common stock, 71,628 shares of Class B-1 preferred stock, and 50,000 shares of common stock that Mr. Carbona has the right to acquire within 60 days of December 31, 2015 pursuant to the exercise of stock options.

(10)
Consists of 1,345,509 shares of common stock, of which 1,268,691 were subject to vesting restrictions pursuant to the RSPA as of December 31, 2015. The RSPA provided for a repurchase option that provided us with the right to repurchase the shares at $0.0001 per share in the event that the consulting agreement entered into with Dr. Kaspar was terminated by us for cause, or by Dr. Kaspar without good reason (unless the termination followed a sale or change in control of the company). The repurchase option lapsed with respect to 25% of the shares immediately upon entry into the agreement, and was scheduled to lapse with respect to an additional 25% upon each of the second, third and fourth anniversaries of the agreement. The repurchase right under the RSPA terminated, and the remaining shares vested in full, upon the effectiveness of Dr. Kaspar's employment agreement on January 1, 2016.

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