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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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Page 12 of 17 SEC Filing

CUSIP No.
05366U100
 Page 14 of 20 Pages
(8)           Flynn
Number of shares:
2,236,700 (comprised of shares held by Deerfield Special Situations Fund, Deerfield Partners, Deerfield International Master Fund and Deerfield Private Design Fund III)
Percentage of shares:    9.99%
(b)
(1)           Deerfield Mgmt
Sole power to vote or direct the vote:  0
Shared power to vote or direct the vote:   613,611
Sole power to dispose or to direct the disposition:  0
Shared power to dispose or direct the disposition:   613,611
(2)           Deerfield Management
Sole power to vote or direct the vote:  0
Shared power to vote or direct the vote:  2,236,700
Sole power to dispose or to direct the disposition:  0
Shared power to dispose or direct the disposition:  2,236,700
(3)           Deerfield Special Situations Fund
Sole power to vote or direct the vote:  0
Shared power to vote or direct the vote:  413,611
Sole power to dispose or to direct the disposition:  0
Shared power to dispose or direct the disposition:  413,611
 
 (4)           Deerfield Private Design Fund III
Sole power to vote or direct the vote:  0
Shared power to vote or direct the vote:  1,623,089
Sole power to dispose or to direct the disposition:  0
Shared power to dispose or direct the disposition:  1,623,089
(5)           Deerfield Partners
Sole power to vote or direct the vote:  0
Shared power to vote or direct the vote:  88,000
Sole power to dispose or to direct the disposition:  0
Shared power to dispose or direct the disposition:  88,000
(6)           Deerfield International Master Fund
Sole power to vote or direct the vote:  0
Shared power to vote or direct the vote:  112,000
Sole power to dispose or to direct the disposition:  0
Shared power to dispose or direct the disposition:  112,000

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