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13D Filing: James Flynn’s Deerfield Management Takes 9.99% Stake in Newly-Public AveXis, Inc. (AVXS)

Published on February 19, 2016 at 2:05 pm by Meena Krishnamsetty in Hedge Funds, News
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AveXis Inc (NASDAQ:AVXS) is the subject of a new 13D filing issued by James Flynn‘s Deerfield Management, which reveals a 2.24 million-share position in the stock, which you can see in the table below. 13D filings indicate an activist position, which means that the filer may make efforts to engage the company’s management and/or board of directors and make recommendations as to ways to improve the company’s operations and enhance the stock’s value to shareholders. AveXis went public earlier this month.

You can access the original SEC filing by clicking here.

Ownership Summary Table

Name Sole Voting Power Shared Voting Power Sole Dispositive Power Shared Dispositive Power Aggregate Amount Owned Power Percent of Class
Deerfield Mgmt 0 613,611 0 613,611 613,611 2.74%
Deerfield Special Situations Fund 0 413,611 0 413,611 413,611 1.85%
Deerfield Partners 0 88,000 0 88,000 88,000 0.39%
Deerfield Management Company 0 2,236,700 0 2,236,700 2,236,700 9.99%
Deerfield Mgmt III 0 1,623,089 0 1,623,089 1,623,089 7.25%
James E. Flynn 0 2,236,700 0 2,236,700 2,236,700 9.99%

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Page 1 of 17 SEC Filing

 
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13D
[Rule 13d-101]
INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 24.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13D-2(a)
(Amendment No. )*
AveXis, Inc. 
(Name of Issuer)
Common Stock, par value $0.0001 per share
(Title of Class of Securities)
05366U100
(CUSIP Number)
 
David Clark
Deerfield Mgmt, L.P.
780 Third Avenue, 37th Floor
New York, New York  10017
(212) 551-1600
With a copy to:
Elliot Press, Esq.
Katten Muchin Rosenman LLP
575 Madison Avenue
New York, New York  10022
(212) 940-8800
(Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications)
February 10, 2016
(Date of Event which Requires Filing of this Statement)
If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of §§ 240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box o.
Note:   Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits.  See § 240.13d-7 for other parties to whom copies are to be sent.
(Continued on following pages)
(Page 1 of 20 Pages)
* The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page.
The information required on the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).

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