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

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Page 11 of 17 SEC Filing

CUSIP No.
05366U100
Page 13 of 20 Pages
Item 5.
Interest in Securities of the Issuer.
(a)
(1)           Deerfield Mgmt
Number of shares:
613,611 (comprised of shares held by Deerfield Special Situations Fund, Deerfield Partners and Deerfield International Master Fund)
Percentage of shares:    2.74%
(2)           Deerfield Management
Number of shares:
2,236,700 (comprised of shares held by Deerfield Special Situations Fund, Deerfield Private Design Fund III, Deerfield Partners and Deerfield International Master Fund)
Percentage of shares:    9.99%
(3)           Deerfield Special Situations Fund
Number of shares:  413,611
Percentage of shares:  1.85%
 (4)           Deerfield Private Design Fund III
Number of shares:  1,623,089
Percentage of shares:  7.25%
(5)           Deerfield Partners
Number of Shares:  88,000
Percentage of Shares:  0.39%
(6)           Deerfield International Master Fund
Number of Shares:  112,000
Percentage of Shares:  0.50%
(7)           Deerfield Mgmt III
Number of shares:
1,623,089 (comprised of shares held by Deerfield Private Design Fund III)
Percentage of shares:    7.25%

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