Filing Details
- Accession Number:
- 0001181431-15-006828
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2015-05-12 17:03:42
- Reporting Period:
- 2015-05-11
- Filing Date:
- 2015-05-12
- Accepted Time:
- 2015-05-12 17:03:42
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1501756 | Avalanche Biotechnologies Inc. | [AAVL] | Biological Products, (No Disgnostic Substances) (2836) | 205258327 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1578407 | Linda Bain | C/O Avalanche Biotechnologies, Inc. 1035 O'Brien Drive, Suite A Menlo Park CA 94025 | Chief Financial Officer | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2015-05-11 | 715 | $3.15 | 9,715 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2015-05-11 | 715 | $34.91 | 9,000 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option (Right to Buy) | Disposition | 2015-05-11 | 715 | $0.00 | 715 | $3.15 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 236,785 | 2024-04-21 | No | 4 | M | Direct |
Footnotes
- Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person.
- This transaction was executed in multiple trades in prices ranging from $34.90 to $34.98, inclusive. The price reported in Column 4 above reflects the weighted average sales price. The Reporting Person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote.
- Twenty-five percent (25%) of the shares subject to the option vested and became exercisable on the first anniversary measured from April 14, 2014, and the remaining shares subject to the option vest in 36 successive, equal installments on each monthly anniversary thereafter, subject to the Reporting Person's continued employment or service relationship with the Issuer on each such vesting date.
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