SEC Filings

S-1/A
AVEXIS, INC. filed this Form S-1/A on 02/09/2016
Entire Document
 

Table of Contents


PRINCIPAL STOCKHOLDERS

          The following table sets forth information regarding beneficial ownership of our capital stock by:

    each person, or group of affiliated persons, known by us to beneficially own more than 5% of our common stock;

    each of our directors;

    our named executive officer; and

    all of our current executive officers and directors as a group.

          We have determined beneficial ownership in accordance with the rules of the SEC. Under these rules, beneficial ownership includes any shares as to which the individual or entity has sole or shared voting power or investment power. Under these rules, beneficial ownership includes any shares as to which the individual or entity has sole or shared voting power or investment power. Applicable percentage ownership is based on 17,719,603 shares of common stock outstanding as of December 31, 2015, after giving effect to the conversion of all of our preferred stock into 8,695,662 shares of common stock, which will occur upon the closing of this offering. In computing the number of shares beneficially owned by an individual or entity and the percentage ownership of that person, shares of common stock subject to options or warrants held by such person that are currently exercisable or will become exercisable within 60 days of December 31, 2015 are considered outstanding, although these shares are not considered outstanding for purposes of computing the percentage ownership of any other person.

          Certain of our significant stockholders and their affiliated entities have indicated an interest in purchasing up to an aggregate of $30 million of shares of our common stock in this offering at the initial public offering price per share. Based on an assumed initial public offering price of $20.00 per share, which is the midpoint of the price range set forth on the cover page of this prospectus, these entities would purchase up to an aggregate of 1,500,000 of the 4,250,000 shares in this offering based on these indications of interest. However, because indications of interest are not binding agreements or commitments to purchase, these stockholders may determine to purchase fewer shares than they indicate an interest in purchasing or not to purchase any shares in this offering. It is also possible that these stockholders could indicate an interest in purchasing more shares of our common stock. In addition, the underwriters could determine to sell fewer shares to any of these stockholders than the stockholders indicate an interest in purchasing or not to sell any shares to these stockholders. The following table does not reflect any potential purchases by these stockholders or their affiliated entities.

          Unless noted otherwise, the address of all listed stockholders is 2275 Half Day Road, Suite 160, Bannockburn, Illinois 60015. Each of the stockholders listed has sole voting and

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