Filing Details
- Accession Number:
- 0001209191-17-037268
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-06-02 16:33:12
- Reporting Period:
- 2017-06-01
- Filing Date:
- 2017-06-02
- Accepted Time:
- 2017-06-02 16:33:12
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1652923 | Avexis Inc. | AVXS | Biological Products, (No Disgnostic Substances) (2836) | 901038273 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1665124 | Sukumar Nagendran | C/O Avexis, Inc. 2275 Half Day Road, Suite 200 Bannockburn IL 60015 | Sr. Vp & Chief Medical 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 | 2017-06-01 | 1,780 | $18.47 | 1,780 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2017-06-01 | 633 | $70.20 | 1,147 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2017-06-01 | 977 | $71.19 | 170 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2017-06-01 | 170 | $71.91 | 0 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Employee Stock Option (Right to Buy) | Disposition | 2017-06-01 | 1,780 | $0.00 | 1,780 | $18.47 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 194,514 | 2025-10-13 | No | 4 | M | Direct |
Footnotes
- These sales were effected pursuant to a Rule 10b5-1 Sales Plan adopted by the Reporting Person on December 2, 2016.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $69.59 to $70.57, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in footnote (2) to this Form 4.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $70.66 to $71.64, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in footnote (3) to this Form 4.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $71.69 to $72.06, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in footnote (4) to this Form 4.
- 49,963 shares vested and became exercisable on September 14, 2016; the remaining shares will vest and become exercisable in 36 equal monthly installments thereafter until September 14, 2019, subject to the Reporting Person's continuous service with the Issuer on each such date.
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