SEC Filings

10-K
AVEXIS, INC. filed this Form 10-K on 03/18/2016
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in that the transactions were under compensatory benefit plans and contracts relating to compensation as provided under Rule 701. The recipients of such securities were our employees, directors or bona fide consultants. Appropriate legends were affixed to the securities issued in these transactions. Each of the recipients of securities in these transactions had adequate access, through employment, business or other relationships, to information about us.

        The following list sets forth information regarding all unregistered securities sold by us during the year ended December 31, 2015:

    (1)
    In March 2015, we issued an aggregate of 34,463 shares of our common stock to two collaborators pursuant to the our exclusive, worldwide license agreement with Nationwide Children's Hospital, or the NCH License.

    (2)
    In March 2015, we issued an aggregate of 1,102,945 shares of our Class C preferred stock to two investors at a purchase price of $4.53 per share for an aggregate consideration of $5.0 million.

    (3)
    In May 2015, we issued an aggregate of 1,011,721 shares of our Class B-1 preferred stock to nine investors at a purchase price of $2.47 per share and warrants to purchase 163,278 shares of our Class B-2 preferred stock for an aggregate consideration of $2.5 million.

    (4)
    In May 2015, we issued an aggregate of 3,802 shares of our common stock to two collaborators pursuant to the NCH License.

    (5)
    In September 2015, we issued an aggregate of 3,093,092 shares of our Class D preferred stock to 27 investors at a purchase price of $21.01 per share for an aggregate consideration of $65.0 million.

        The offers, sales and issuances of the securities described in the paragraphs above were exempt from registration under Section 4(a)(2) of the Securities Act and Regulation D promulgated under the Securities Act. Each of the purchasers represented to us that they acquired the securities for investment only and not with a view to or for sale in connection with any distribution thereof and appropriate legends were affixed to the securities issued in these transactions. The purchasers also represented to us that they were accredited investors as defined in Rule 501 promulgated under the Securities Act.

        The foregoing share numbers and prices reflect the 1.38-for-1 forward stock split of our outstanding capital stock effected on February 1, 2016. On February 17, 2016, in connection with the closing of our initial public offering, all shares of our preferred stock converted into shares of common stock on a 1-for-1 basis.

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