SEC Filings

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

Table of Contents

investment power with respect to the shares beneficially 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)

    1,686,926     9.5 %   7.7 %

Stockholders affiliated with PBM Capital Group(2)

    2,660,986     14.7 %   11.9 %

Stockholders affiliated with Deerfield Management(3)

    1,750,205     9.9 %   8.0 %

Roche Finance Ltd(4)

    1,493,843     8.4 %   6.8 %

Stockholders affiliated with Venrock(5)

    935,657     5.3 %   4.3 %

Stockholders affiliated with T. Rowe Price(6)

    951,720     5.4 %   4.3 %

White Rock Capital Partners, LP(7)

    1,176,863     6.6 %   5.4 %

NRM VII Holdings I, LLC(8)

    1,176,863     6.6 %   5.4 %

Directors and Named Executive Officers

   
 
   
 
   
 
 

John A. Carbona(9)

    1,341,925     7.6 %   6.1 %

Sean P. Nolan

        *     *  

Thomas J. Dee

        *     *  

Sukumar Nagendran

        *     *  

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

    1,856,802     10.5 %   8.5 %

Daniel Welch

        *     *  

Terrence C. Kearney

        *     *  

Paul B. Manning(2)

    2,660,986     14.7 %   11.9 %

Jonathan Leff(3)

    1,750,206     9.9 %   8.0 %

Carole Nuechterlein

        *     *  

Bong Y. Koh(5)

    935,657     5.3 %   4.3 %

Frank Verwiel

        *     *  

All current executive officers and directors as a group (13 persons)

    7,203,651     39.9 %   32.3 %

*
Represents beneficial ownership of less than one percent

(1)
Consists of 1,484,580 shares of common stock and 202,346 shares of Class B-1 preferred stock. All such shares and rights are held by JDH Investment Management, LLC.

(2)
Consists of (a) 243,529 shares of common stock, 1,695,443 shares of Class B-1 preferred stock and 267,777 shares of Class B-2 preferred stock issuable upon the exercise of warrants held by PBM Capital Investments, LLC, and (b) an aggregate of 395,461 shares of Class B-1 preferred stock and an aggregate of 58,776 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) 131,911 shares of common stock, 67,448 shares of Class B-1 preferred stock, 1,182,941 shares of Class C preferred stock and 117,996 shares of Class D preferred stock held by Deerfield Private Design Fund III, L.P. ("Private Design Fund"), and (b) 131,911 shares of common stock and 117,998 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 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.

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