SEC Filings

SC 13D/A
FLYNN JAMES E filed this Form SC 13D/A on 11/13/2017
Entire Document
 

 

CUSIP No.  05366U100 13D/A Page 11 of 15 Pages

 

(5)       Deerfield Partners

 

Number of Shares: 160,143

Percentage of Shares: 0.50%*

 

(6)       Deerfield International Master Fund

 

Number of Shares: 111,286

Percentage of Shares: 0.35%*

 

(7)       Deerfield Mgmt III

 

Number of shares: 1,077,997 (comprised of shares held by Deerfield Private Design Fund III)

Percentage of shares: 3.37%*

 

(8)       Flynn

 

Number of shares: 1,547,386 (comprised of shares held by Deerfield Special Situations Fund, Deerfield Partners, Deerfield International Master Fund, Deerfield Private Design Fund III)

Percentage of shares: 4.84%*

 

*Percentage beneficial ownership reported herein reflects 31,976,418 shares of Common Stock outstanding as of November 8, 2017, as reported in the Company’s Quarterly Report on Form 10-Q for the quarterly period ended September 30, 2017.

 

(b)       

 

(1)        Deerfield Mgmt

 

Sole power to vote or direct the vote: 0

Shared power to vote or direct the vote: 469,389

Sole power to dispose or to direct the disposition: 0

Shared power to dispose or direct the disposition: 469,389

 

(2)       Deerfield Management

 

Sole power to vote or direct the vote: 0

Shared power to vote or direct the vote: 1,547,386

Sole power to dispose or to direct the disposition: 0

Shared power to dispose or direct the disposition: 1,547,386

 

(3)       Deerfield Special Situations Fund

 

Sole power to vote or direct the vote: 0

Shared power to vote or direct the vote: 197,960

Sole power to dispose or to direct the disposition: 0

Shared power to dispose or direct the disposition: 197,960

 


© AveXis, Inc. All Rights Reserved.