SEC Filings

10-K
AVEXIS, INC. filed this Form 10-K on 03/18/2016
Entire Document
 

Table of Contents

    stock held directly by Mr. Manning together with his spouse as Joint Tenants with Right of Survivorship, (c) 941 shares of common stock held by BKB Growth Investments, LLC and (d) 1,397 shares exercisable within 60 days of March 9, 2016 pursuant to an option to purchase 8,385 shares of common stock granted to Mr. Manning for service on our board of directors on February 10, 2016, which vests and becomes exercisable in twelve equal monthly installments beginning on March 10, 2016. Mr. Manning has the sole voting and investment power with respect to the shares held by PBM Capital Investments, LLC. Mr. Manning is co-manager of BKB Growth Investments, LLC and, as such, has unilateral voting and investment power with respect to the shares held by BKB. Mr. Manning disclaims beneficial ownership of the shares held by PBM Capital Investments, LLC and BKB Growth Investments, LLC except to the extent of his pecuniary interest therein, and the inclusion of the securities in this report shall not be deemed an admission of beneficial ownership of all of the reported securities for purposes of Section 16 or for any other purpose.

(5)
Consists of (a) 736,871 shares of common stock held by Venrock Healthcare Capital Partners II, L.P. ("VHCP II"), and (b) 298,786 shares of common 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 Mr. Koh are members of VHCPM II and may be deemed to beneficially own the shares held by VHCP II and VHCP Co. II. Mr. Kong disclaims beneficial ownership of the shares held by VHCP II and VHCP Co. II except to the extent of his pecuniary interest therein, and the inclusion of the securities in this report shall not be deemed an admission of beneficial ownership of all of the reported securities for purposes of Section 16 or for any other purpose. Also includes of 1,397 shares exercisable within 60 days of March 9, 2016 pursuant to an option to purchase 8,385 shares of common stock granted to Mr. Koh for service on our board of directors on February 10, 2016, which vests and becomes exercisable in twelve equal monthly installments beginning on March 10, 2016.

Equity Compensation Plan Information

        The following table contains certain information with respect to our equity compensation plan in effect as of December 31, 2015.

Plan category
  Shares of common
stock to be issued
upon exercise of
outstanding options
(#)
  Weighted-average
exercise price of
outstanding
options
($)
  Number of shares of common
stock remaining available for
future issuance under equity
compensation plans (excluding
securities reflected in column (a))
(#)
 

Equity compensation plans approved by stockholders

    1,748,877   $ 15.04     190,575 (1)

Equity compensation plans not approved by stockholders

             

Total

    1,748,877   $ 15.04     190,575  

(1)
Reflects shares of common stock available for future issuance under our 2014 Plan at December 31, 2015. In January 2016, our board of directors adopted our 2016 Plan, which was approved by our stockholders in February 2016. The 2016 Plan became effective on February 10, 2016. Accordingly, no additional stock awards will be granted under the 2014 Plan. As of March 17, 2016, 2,446,365 shares of common stock are available for issuance under our 2016 Plan.

Item 13.    Certain Relationships and Related Transactions, and Director Independence.

        Except as described below, there have been no transactions since January 1, 2015 to which we have been a participant in which the amount involved exceeded or will exceed $120,000, and in which any of

193



© AveXis, Inc. All Rights Reserved.