SEC Filings

S-1/A
AVEXIS, INC. filed this Form S-1/A on 02/09/2016
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Table of Contents

(4)
Consists of 81,177 shares of common stock, 67,448 shares of Class B-1 preferred stock, 1,182,079 shares of Class C preferred stock and 163,139 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) 368,201 shares of common stock, 73,640 shares of Class B-1 preferred stock and 223,880 shares of Class D preferred stock held by Venrock Healthcare Capital Partners II, L.P. ("VHCP II"), and (b) 149,298 shares of common stock, 29,859 shares of Class B-1 preferred stock and 90,779 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) 389,647 shares of Class D preferred stock held by T. Rowe Price Health Sciences Fund, Inc., (b) 22,244 shares of Class D preferred stock held by TD Mutual Funds — TD Health Sciences Fund, (c) 23,936 shares of Class D preferred stock held by VALIC Company I — Health Sciences Fund, (d) 20,343 shares of Class D preferred stock held by T. Rowe Price Health Sciences Portfolio, (e) 10,120 shares of Class D preferred stock held by John Hancock Variable Insurance Trust — Health Sciences Trust, (f) 9,570 shares of Class D preferred stock held by John Hancock Funds II — Health Sciences Fund, (g) 431,967 shares of Class D preferred stock held by T. Rowe Price New Horizons Fund, Inc., (h) 43,064 shares of Class D preferred stock held by T. Rowe Price New Horizons Trust, and (i) 829 shares of Class D preferred stock held by T. Rowe Price U.S. Equities Trust.

(7)
Consists of 873,345 shares of common stock and 303,518 shares of Class B-1 preferred stock.

(8)
Consists of 873,345 shares of common stock and 303,518 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 1,243,079 shares of common stock and 98,846 shares of Class B-1 preferred stock.

(10)
Consists of 1,856,802 shares of common stock, of which 1,750,794 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 $0.00007 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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