IPO registrations (S-1, F-1) · Registrants
AveXis, Inc.
- SEC CIK
- 1652923 · filings on EDGAR ↗
- Registration
- Form S-1, first filed 2016-01-15, last 2016-09-06; 2 initial registrations, 3 amendments
- Outcome
- Final prospectus filed 2016-02-11; declared effective 2016-02-10
- Industry (SIC)
- Biological Products, (No Diagnostic Substances) 2836
- Incorporated in
- DE
- Business address
- 2275 HALF DAY ROAD, SUITE 160, Bannockburn, IL 60015
- EIN
- 90-1038273
- EDGAR entity type
- operating
- Insiders and CEO pay
- AveXis, Inc. on the corporate pages
Offering terms
- Proposed price range
- $19.00–$21.00 per share (S-1/A filed 2016-02-09)
- Final price
- $20.00 per share, within the range (424B4 filed 2016-02-11, an initial public offering)
- Shares sold
- 4,750,000
- Gross proceeds
- $95,000,000 before underwriting discounts and any over-allotment option
- Listing
- Nasdaq under the symbol AVXS
- Lead underwriters
- Goldman Sachs
- Syndicate
- Jefferies; BMO Capital Markets; Chardan
Read from the cover pages of the filings listed under “Prospectus pages read” below; check the document for anything that matters.
On this site
- Business registration: NOVARTIS INNOVATIVE TECHNOLOGIES INC. EXACT (EIN (EXACT, as the state registration reports it))
- Form 5500 plan sponsor: NOVARTIS GENE THERAPIES, INC. EXACT (EIN (EXACT))
- Form D issuer: AveXis, Inc. EXACT (CIK (EXACT))
- Lobbying client: AVEXIS, INC Fuzzy (name and state)
- SEC filer: AveXis, Inc. EXACT (CIK (EXACT))
- Person page: James E Flynn Fuzzy (officer, director or 10% owner on the company's Forms 3, 4 and 5 (Director,TenPercentOwnerOther))
Filings 11
| Filed | Form | What it is | Name as filed | EDGAR |
|---|---|---|---|---|
| 2016-01-15 | S-1 | S-1 (registration) | AveXis, Inc. | 0001047469-16-009715 ↗ |
| 2016-02-01 | S-1/A | S-1/A (amendment) | AveXis, Inc. | 0001047469-16-009943 ↗ |
| 2016-02-09 | S-1/A | S-1/A (amendment) | AveXis, Inc. | 0001047469-16-010062 ↗ |
| 2016-02-10 | EFFECT | EFFECT (declared effective) | AveXis, Inc. | 9999999995-16-003724 ↗ |
| 2016-02-11 | 424B4 | 424B4 (final prospectus) | AveXis, Inc. | 0001047469-16-010121 ↗ |
| 2016-08-24 | S-1 | S-1 (registration) | AveXis, Inc. | 0001047469-16-015110 ↗ |
| 2016-09-06 | S-1/A | S-1/A (amendment) | AveXis, Inc. | 0001047469-16-015273 ↗ |
| 2016-09-07 | EFFECT | EFFECT (declared effective) | AveXis, Inc. | 9999999995-16-005631 ↗ |
| 2016-09-08 | S-1MEF | S-1MEF (added securities) | AveXis, Inc. | 0001104659-16-143573 ↗ |
| 2016-09-12 | 424B4 | 424B4 (final prospectus) | AveXis, Inc. | 0001047469-16-015407 ↗ |
| 2018-05-22 | EFFECT | EFFECT (declared effective) | AveXis, Inc. | 9999999995-18-001305 ↗ |
Prospectus pages read 2
| Filed | Form | Read as | Range | Price | Shares | Proceeds | Listing | Underwriters | What was found | Document |
|---|---|---|---|---|---|---|---|---|---|---|
| 2016-02-09 | S-1/A | registration statement | $19.00–$21.00 | $13.99 | 4,250,000 | $59,457,500 | Nasdaq AVXS | 4 | primary document; range, price line, shares headline, proceeds computed, cover names 4 | document ↗ |
| 2016-02-11 | 424B4 | final prospectus | $20.00 | 4,750,000 | $95,000,000 | Nasdaq AVXS | 4 | primary document; price sentence, shares headline, proceeds table, cover names 4 | document ↗ |
Officers, directors and large holders Forms 3, 4 and 5
| Insider | Role | Title | Filings | Years | On this site |
|---|---|---|---|---|---|
| DEERFIELD MANAGEMENT CO | TenPercentOwnerOther | 3 | 2016 | ||
| Deerfield Mgmt III, L.P. | TenPercentOwnerOther | 2 | 2016 | ||
| Deerfield Mgmt L.P. | TenPercentOwnerOther | 2 | 2016 | ||
| Deerfield Private Design Fund III, L.P. | TenPercentOwnerOther | 2 | 2016 | ||
| Deerfield Special Situations Fund, L.P. | TenPercentOwnerOther | 2 | 2016 | ||
| Dee Thomas J. | Officer | Sr. VP & CFO | 3 | 2016–2017 | |
| Flynn James E | Director,TenPercentOwnerOther | 3 | 2016 | person page Fuzzy | |
| Kaspar Brian K. | Director,Officer; Director,Officer,TenPercentOwner | Chief Scientific Officer | 12 | 2016–2018 | |
| Kearney Terrence C | Director | 5 | 2016–2018 | ||
| Knudten Andrew F. | Officer | SrVP/Manufacture&Supply Chain | 11 | 2016–2018 | |
| Koh Bong Y | Director | 6 | 2016–2018 | ||
| LEFF JONATHAN S | Director | 2 | 2016 | ||
| LITALIEN JAMES J | Officer | SrVP/Chief Reg&Quality Officer | 7 | 2016–2018 | |
| Manning Paul B | DirectorOther; Director,TenPercentOwner | 7 | 2016–2018 | ||
| Nagendran Sukumar | Officer | Sr. VP & Chief Medical Officer | 17 | 2016–2018 | |
| Nolan Sean P. | Director,Officer | President & CEO | 6 | 2016–2018 | |
| Nuechterlein Carole | Director | 2 | 2016 | ||
| PBM Capital Investments, LLC | Other; TenPercentOwner | 2 | 2016 | ||
| Verwiel Frank | Director | 5 | 2016–2018 | ||
| WELCH DANIEL G | Director | 5 | 2016–2018 | ||
| Deerfield International Master Fund, L.P. | TenPercentOwnerOther | 2 | 2016 | ||
| DEERFIELD PARTNERS, LP | TenPercentOwnerOther | 2 | 2016 | ||
| Johannesen Michael | Officer | General Counsel | 5 | 2016–2018 | |
| Modi Rick | Officer | Chief Business Officer | 6 | 2017–2018 | |
| Session R.A. II | Officer | Sr. VP, Corp Strategy | 5 | 2017–2018 | |
| Smith Lori J. | Officer | SVP-Chief Human Resource Off. | 4 | 2017–2018 | |
| Siffert Joao MD | Director | 4 | 2017–2018 | ||
| Donenberg Phillip B. | Officer | Chief Financial Officer | 4 | 2017–2018 | |
| NOVARTIS AG | TenPercentOwner | 1 | 2018 |
Everyone who filed an insider report for this company, from the SEC’s Insider Transactions Data Sets (2006 on). Person pages are matched by name and state only.
Private offerings before or after (Form D)
| First filed | Issuer | Industry | Offering | Sold | Investors | Filings |
|---|---|---|---|---|---|---|
| 2015-09-17 | AveXis, Inc. | Biotechnology | $65,000,020 | $65,000,020 | 27 | 1 |
Data: SEC EDGAR. The quarterly full index (every S-1, S-1/A, F-1 and F-1/A since 1993, with the pricing prospectus, notice of effectiveness and withdrawal request of each registrant) and the company submissions data (SIC, state of incorporation, address, EIN, tickers, former names). Company details are what EDGAR holds today, not at the time of the filing.
Also on this site Fuzzy
| Record | Name as filed | Where | Dataset | Matched by |
|---|---|---|---|---|
| Business registration | NOVARTIS INNOVATIVE TECHNOLOGIES INC. | IL | State business registries | EIN (EXACT, as the state registration reports it) |
| Form D issuer | AveXis, Inc. | IL | Form D private offerings | CIK (EXACT) |
| SEC filer | AveXis, Inc. | SEC filers (EDGAR) | CIK (EXACT) | |
| Form 5500 plan sponsor | NOVARTIS GENE THERAPIES, INC. | EIN (EXACT) | ||
| Lobbying client | AVEXIS, INC | Federal lobbying (LDA) | name and state | |
| Person page | James E Flynn | People (Form 990 officers, directors and employees) | officer, director or 10% owner on the company's Forms 3, 4 and 5 (Director,TenPercentOwnerOther) |
Matched by an identifier (EIN, CIK, CRD), by name and state or city, or by street address; a shared name or address is not proof of the same person or organization. Every link says how it was made; how the cross-referencing works.
Others with the same interests
SIC industry Biological Products, (No Diagnostic Substances), IL first:
- BioLife4D Corp IL
- Viskase Holdings, Inc. IL
- APPLIED NEUROSOLUTIONS INC IL
- NEOPHARM INC IL
- BioNTech SE 2M
- Immatics N.V. 2M
- CHEMOKINE THERAPEUTICS CORP A1
- Fusion Pharmaceuticals Inc. A6
- CREATIVE MEDICAL TECHNOLOGY HOLDINGS, INC. AZ
- GENETIC TECHNOLOGIES LTD C3
In other datasets, the same topic (Health) in IL:
- Nonprofit: 5 LOAVES 2 FISHES FOUNDATION INC (Nonprofits (IRS Form 990))
Interests: Biological Products, (No Diagnostic Substances) · Health