AVXS Pemfailan SEC - AveXis, Inc.- Laporan Tahunan, Penyata Proksi, Prospektus

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1652923

SEC Filings

All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis. These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to AveXis, Inc.

SEC Filings (Chronological Order)

Halaman ini menyediakan senarai kronologi lengkap bagi Pemfailan SEC, tidak termasuk pemfailan pemilikan yang kami sediakan di tempat lain.

June 4, 2018	15-12B	AVXS / AveXis, Inc. 15-12B UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 15 CERTIFICATION AND NOTICE OF TERMINATION OF REGISTRATION UNDER SECTION 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR SUSPENSION OF DUTY TO FILE REPORTS UNDER SECTIONS 13 AND 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. Commission File Number 001-37693 AveXis, Inc. (Exact name of registrant as specified in its charter
May 17, 2018	SC 13D/A	AVXS / AveXis, Inc. / Adage Capital Partners GP LLC - AVEXIS, INC. Activist Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 1)* AveXis, Inc. (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 05366U100 (CUSIP Number) Robert Atchinson Adage Capital Partners GP, L.L.C. 200 Clarendon Street, 52nd Floor Boston, MA 02116 (617) 867-2800 (Name, Address and Tel
May 15, 2018	S-8 POS	AVXS / AveXis, Inc. S-8 POS As filed with the Securities and Exchange Commission on May 15, 2018 Registration No.
May 15, 2018	POS AM	AVXS / AveXis, Inc. POS AM As filed with the Securities and Exchange Commission on May 15, 2018 Registration No.
May 15, 2018	EX-3.1	Amended and Restated Certificate of Incorporation of AveXis, Inc. EX-3.1 2 ex3-1.htm AMENDED AND RESTATED CERTIFICATE OF INCORPORATION Exhibit 3.1 AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF AVEXIS, INC. FIRST: The name of the corporation is AveXis, Inc. (the “Corporation”). SECOND: The address of its registered office in the State of Delaware is 251 Little Falls Drive, New Castle County, Wilmington, Delaware 19808. The name of its registered agent at s
May 15, 2018	8-K	Changes in Control of Registrant, Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year, Material Modification to Rights of Security Holders, Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing, Financial Statements and Exhibits, Completion of Acquisition or Disposition of Assets UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 15, 2018 AVEXIS, INC. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-37693 90-1038273 (Commission File No.) (IR
May 15, 2018	EX-3.2	Amended and Restated By-laws of AveXis, Inc. EX-3.2 3 ex3-2.htm AMENDED AND RESTATED BY-LAWS Exhibit 3.2 AMENDED AND RESTATED BY-LAWS OF AVEXIS, INC. 1. MEETINGS OF STOCKHOLDERS. 1.1 Annual Meeting. The annual meeting of stockholders shall be held on such date and at such time as shall be designated from time to time by the board of directors (the “Board”) and stated in the notice of the meeting. 1.2 Special Meetings. Special meetings of the
May 15, 2018	SC 14D9/A	AVXS / AveXis, Inc. AMENDMENT NO. 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14D-9 (Rule 14d-101) (Amendment No. 3) SOLICITATION/RECOMMENDATION STATEMENT UNDER SECTION 14(d)(4) OF THE SECURITIES EXCHANGE ACT OF 1934 AVEXIS, INC. (Name of Subject Company) AVEXIS, INC. (Name of Person Filing Statement) COMMON STOCK, PAR VALUE $0.0001 PER SHARE (Title of Class of Securities) 05366U100 (CUSIP Numb
May 15, 2018	SC TO-T/A	NVS / Novartis AG SC TO-T/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE TO Tender Offer Statement under Section 14(d)(1) or 13(e)(1) of the Securities Exchange Act of 1934 (Amendment No. 2) AVEXIS, INC. (Name of Subject Company (Issuer)) NOVARTIS AM MERGER CORPORATION an indirect wholly-owned subsidiary of NOVARTIS AG (Name of Filing Persons (Offerors)) Common Stock, $0.0001 Par Value (Ti
May 15, 2018	EX-99.(A)(5)(G)	MEDIA RELEASE • COMMUNIQUE AUX MEDIAS • MEDIENMITTEILUNG EX-99.(A)(5)(G) 2 a18-100569ex99da5g.htm EX-99.(A)(5)(G) Exhibit (a)(5)(G) Novartis International AG Novartis Global Communications CH-4002 Basel Switzerland http://www.novartis.com MEDIA RELEASE • COMMUNIQUE AUX MEDIAS • MEDIENMITTEILUNG Novartis completes tender offer for all outstanding shares of AveXis, Inc. Basel, May 15, 2018 — Novartis AG (NYSE: NVS) (“Novartis”) today announced the success
May 4, 2018	10-Q	AVXS / AveXis, Inc. 10-Q (Quarterly Report) Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2018 OR ☐TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001
May 4, 2018	EX-10.1	License Agreement dated March 9, 2018 by and between the Registrant and Généthon. Exhibit 10.1 CONFIDENTIAL TREATMENT REQUESTED EXECUTION VERSION LICENSE AGREEMENT By and between Généthon and AveXis, Inc. Page 1 / 31 Certain information has been omitted and filed separately with the Commission. Confidential treatment has been requested with respect to the omitted portions TABLE OF CONTENTS Page BACKGROUND 3 ARTICLE 1. DEFINITIONS AND INTERPRETATION 4 ARTICLE 2. GRANT OF RIGHTS
May 3, 2018	EX-99.1	AveXis Reports First Quarter 2018 Financial and Operating Results — Significant progress across operating functions including licensing, clinical trials and regulatory interactions — — AVXS-101 pre-BLA meeting with FDA is scheduled to be held in June EX-99.1 2 a18-127541ex99d1.htm EX-99.1 Exhibit 99.1 Media Inquiries: Lauren Barbiero W2O Group 646-564-2156 [email protected] Investor Inquiries: Jim Goff AveXis, Inc. 650-862-4134 [email protected] AveXis Reports First Quarter 2018 Financial and Operating Results — Significant progress across operating functions including licensing, clinical trials and regulatory interactions — — AVXS-101 pre
May 3, 2018	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 3, 2018 AVEXIS, INC. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-37693 90-1038273 (Commission File No.) (IRS
May 1, 2018	EX-99.A5I	Dear Team, Exhibit (a)(5)(I) Dear Team, I am pleased to share with you the important news that the required waiting period under U.
May 1, 2018	SC 14D9/A	AVXS / AveXis, Inc. AMENDMENT NO. 2 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14D-9 (Rule 14d-101) (Amendment No. 2) SOLICITATION/RECOMMENDATION STATEMENT UNDER SECTION 14(d)(4) OF THE SECURITIES EXCHANGE ACT OF 1934 AVEXIS, INC. (Name of Subject Company) AVEXIS, INC. (Name of Person Filing Statement) COMMON STOCK, PAR VALUE $0.0001 PER SHARE (Title of Class of Securities) 05366U100 (CUSIP Numb
May 1, 2018	EX-99.A5G	AveXis Provides Update on Proposed Acquisition by Novartis AG Exhibit (a)(5)(G) Media Inquiries: Lauren Barbiero W2O Group 646-564-2156 lbarbiero@w2ogroup.
May 1, 2018	EX-99.(A)(5)(F)	MEDIA RELEASE · COMMUNIQUE AUX MEDIAS · MEDIENMITTEILUNG Exhibit (a)(5)(F) Novartis International AG Novartis Global Communications CH-4002 Basel Switzerland http://www.
May 1, 2018	SC TO-T/A	NVS / Novartis AG SC TO-T/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE TO Tender Offer Statement under Section 14(d)(1) or 13(e)(1) of the Securities Exchange Act of 1934 (Amendment No. 1) AVEXIS, INC. (Name of Subject Company (Issuer)) NOVARTIS AM MERGER CORPORATION an indirect wholly-owned subsidiary of NOVARTIS AG (Name of Filing Persons (Offerors)) Common Stock, $0.0001 Par Value (Ti
April 30, 2018	10-K/A	AVXS / AveXis, Inc. 10-K/A (Annual Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K/A (Amendment No. 1) ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2017 Commission file number 001-37693 AVEXIS, INC. State of Delaware 90-1038273 Incorporated under the Laws of the I.R.S. Employer Identification No. 2275 Half Day Rd, Suite
April 30, 2018	EX-10.27	AVEXIS, INC. EMPLOYMENT AGREEMENT Exhibit 10.27 AVEXIS, INC. EMPLOYMENT AGREEMENT This Employment Agreement (the “Agreement”) is entered into as of January 2017, by and between Rick Modi (the “Executive”) and AveXis, Inc. (the “Company”). RECITALS A. The Company desires the association and services of Executive and his skills, abilities, background and knowledge, and is willing to engage Executive’s services on the terms and condi
April 25, 2018	8-K	Financial Statements and Exhibits, Other Events 8-K 1 a18-1216118k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 25, 2018 AVEXIS, INC. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-37693 90-1038
April 25, 2018	EX-99.1	AveXis Announces First Patient Dosed in Phase 3 Trial of AVXS-101 in Pre-Symptomatic SMA Types 1, 2 and 3 EX-99.1 2 a18-121611ex99d1.htm EX-99.1 Exhibit 99.1 Media Inquiries: Lauren Barbiero W2O Group 646-564-2156 [email protected] Investor Inquiries: Jim Goff AveXis, Inc. 650-862-4134 [email protected] AveXis Announces First Patient Dosed in Phase 3 Trial of AVXS-101 in Pre-Symptomatic SMA Types 1, 2 and 3 Chicago, Ill. (April 25, 2018) — AveXis, Inc. (NASDAQ: AVXS), a clinical-stage gene therapy
April 24, 2018	8-K	Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 24, 2018 AVEXIS, INC. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-37693 90-1038273 (Commission File No.) (
April 24, 2018	EX-99.1	AveXis Presents Initial Data from Pivotal U.S. Trial for SMA Type 1 and 24-Month Follow-Up Data from Phase 1 Trial of AVXS-101 in SMA Type 1 at the Annual Meeting of the American Academy of Neurology — A mean increase in CHOP-INTEND of 17.3 was obser EX-99.1 2 a18-121201ex99d1.htm EX-99.1 Exhibit 99.1 Media Inquiries: Lauren Barbiero W2O Group 646-564-2156 [email protected] Investor Inquiries: Jim Goff AveXis, Inc. 650-862-4134 [email protected] AveXis Presents Initial Data from Pivotal U.S. Trial for SMA Type 1 and 24-Month Follow-Up Data from Phase 1 Trial of AVXS-101 in SMA Type 1 at the Annual Meeting of the American Academy of Neurolo
April 20, 2018	SC 14D9/A	AVXS / AveXis, Inc. AMENDMENT NO. 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14D-9 (Rule 14d-101) (Amendment No. 1) SOLICITATION/RECOMMENDATION STATEMENT UNDER SECTION 14(d)(4)OF THE SECURITIES EXCHANGE ACT OF 1934 AVEXIS, INC. (Name of Subject Company) AVEXIS, INC. (Name of Person Filing Statement) COMMON STOCK, PAR VALUE $0.0001 PER SHARE (Title of Class of Securities) 05366U100 (CUSIP Numbe
April 20, 2018	EX-99.(A)(5)(F)	Letter dated April 20, 2018 from Paul Hudson, Chief Executive Officer of Novartis Pharmaceuticals, to Company's Employees. Exhibit (a)(5)(F) 20 April 2018 Letter to AveXis associates I greatly enjoyed meeting many of you in person at your headquarters in Illino is last week.
April 20, 2018	SC 13D	AVXS / AveXis, Inc. / Adage Capital Partners GP LLC - AVEXIS, INC. Activist Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. )* AveXis, Inc. (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 05366U100 (CUSIP Number) Robert Atchinson Adage Capital Partners GP, L.L.C. 200 Clarendon Street, 52nd Floor Boston, MA 02116 (617) 867-2800 (Name, Address and Teleph
April 17, 2018	SC 14D9	AVXS / AveXis, Inc. SC 14D9 Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14D-9 (Rule 14d-101) SOLICITATION/RECOMMENDATION STATEMENT UNDER SECTION 14(d)(4) OF THE SECURITIES EXCHANGE ACT OF 1934 AVEXIS, INC. (Name of Subject Company) AVEXIS, INC. (Name of Person Filing Statement) COMMON STOCK, PAR VALUE $0.0001 PER SHARE (Title of Class of Securities) 05366U100 (CUSIP Numb
April 17, 2018	EX-99.(A)(1)(A)	Offer to Purchase for Cash All Outstanding Shares of Common Stock of AveXis, Inc. at $218.00 Net Per Share by Novartis AM Merger Corporation an indirect wholly-owned subsidiary of NOVARTIS AG QuickLinks - Click here to rapidly navigate through this document Exhibit (a)(1)(A) Offer to Purchase for Cash All Outstanding Shares of Common Stock of AveXis, Inc.
April 17, 2018	SC TO-T	NVS / Novartis AG SC TO-T QuickLinks - Click here to rapidly navigate through this document UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.
April 17, 2018	EX-99.(A)(1)(C)	Offer to Purchase for Cash All Outstanding Shares of Common Stock AveXis, Inc. at $218.00 Net Per Share in Cash Pursuant to the Offer to Purchase Dated April 17, 2018 by Novartis AM Merger Corporation an indirect wholly-owned subsidiary of NOVARTIS A QuickLinks - Click here to rapidly navigate through this document Exhibit (a)(1)(C) Offer to Purchase for Cash All Outstanding Shares of Common Stock of AveXis, Inc.
April 17, 2018	EX-99.(D)(2)	[signatures follow] Exhibit (d)(2) Execution Version March 5, 2018 Novartis International AG Lichtstrasse 35 4056 Basel Switzerland Attention: Nigel Sheail, Global Head M&A and BD&L CONFIDENTIAL Ladies and Gentlemen: We understand that Novartis International AG (“you”) desires to engage in certain discussions with AveXis, Inc.
April 17, 2018	EX-99.(A)(1)(B)	Letter of Transmittal To Tender Shares of Common Stock of AVEXIS, INC. at $218.00 Net Per Share in Cash Pursuant to the Offer to Purchase dated April 17, 2018 by Novartis AM Merger Corporation, an indirect wholly-owned subsidiary of Novartis AG QuickLinks - Click here to rapidly navigate through this document Exhibit (a)(1)(B) Letter of Transmittal To Tender Shares of Common Stock of AVEXIS, INC.
April 17, 2018	EX-99.(A)(1)(E)	Notice of Guaranteed Delivery for Offer to Purchase for Cash All Outstanding Shares of Common Stock of AveXis, Inc. at $218.00 Net Per Share in Cash Pursuant to the Offer to Purchase Dated April 17, 2018 by Novartis AM Merger Corporation an indirect QuickLinks - Click here to rapidly navigate through this document Exhibit (a)(1)(E) Notice of Guaranteed Delivery for Offer to Purchase for Cash All Outstanding Shares of Common Stock of AveXis, Inc.
April 17, 2018	EX-99.(A)(1)(H)	UNANIMOUS WRITTEN CONSENT OF THE BOARD OF DIRECTORS OF NOVARTIS AM MERGER CORPORATION Exhibit (a)(1)(H) UNANIMOUS WRITTEN CONSENT OF THE BOARD OF DIRECTORS OF NOVARTIS AM MERGER CORPORATION The undersigned, being all of the directors of Novartis AM Merger Corporation, a Delaware corporation (the “Corporation”), acting by written consent without a meeting pursuant to Sections 109 and 141(f) of the Delaware General Corporation Law, do hereby consent to the adoption of the following r
April 17, 2018	EX-99.(A)(1)(F)	This announcement is neither an offer to purchase nor a solicitation of an offer to sell Shares (as defined below). The Offer (as defined below) is made solely pursuant to the Offer to Purchase (as defined below), the related Letter of Transmittal, a Exhibit (a)(1)(F) This announcement is neither an offer to purchase nor a solicitation of an offer to sell Shares (as defined below).
April 17, 2018	EX-99.(A)(1)(G)	POWER OF ATTORNEY Exhibit (a)(1)(G) POWER OF ATTORNEY This Power of Attorney is made on 6 April 2018 by Novartis AG, a company limited by shares (Aktiengesellschaft) incorporated under the laws of Switzerland and registered in the Commercial Register of the Canton of Basel-Stadt, Switzerland, under number CHE-103.
April 17, 2018	EX-99.(A)(1)(D)	Offer to Purchase for Cash All Outstanding Shares of Common Stock AveXis, Inc. at $218.00 Net Per Share in Cash Pursuant to the Offer to Purchase Dated April 17, 2018 by Novartis AM Merger Corporation an indirect wholly-owned subsidiary of NOVARTIS A QuickLinks - Click here to rapidly navigate through this document Exhibit (a)(1)(D) Offer to Purchase for Cash All Outstanding Shares of Common Stock of AveXis, Inc.
April 10, 2018	EX-99.(A)(5)(C)	April 9, 2018 EX-99.(A)(5)(C) 2 a18-97972ex99da5c.htm EX-99.(A)(5)(C) Exhibit (a)(5)(C) April 9, 2018 Dear AveXis Team, I wanted to share with you my excitement about the opportunities ahead of us as we announce the signing of an agreement and plan of merger between our two companies. AveXis has built a team with exceptional depth of experience and shares our aspiration to deliver breakthrough transformative in
April 10, 2018	SC TO-C	NVS / Novartis AG SC TO-C UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE TO Tender Offer Statement under Section 14(d)(1) or 13(e)(1) of the Securities Exchange Act of 1934 AVEXIS, INC. (Name of Subject Company (Issuer)) NOVARTIS AM MERGER CORPORATION an indirect wholly-owned subsidiary of NOVARTIS AG (Name of Filing Persons (Offerors)) Common Stock, $0.0001 Par Value (Title of Class of Se
April 10, 2018	EX-99.(A)(5)(D)	Client Id: 77 THOMSON REUTERS STREETEVENTS EDITED TRANSCRIPT NOVN.VX - Novartis AG Acquisition of AveXis Inc - Investor Call 1 EVENT DATE/TIME: APRIL 09, 2018 / 6:00AM GMT THOMSON REUTERS STREETEVENTS \| www.streetevents.com \| Contact Us ©2018 Thomson EX-99.(A)(5)(D) 3 a18-97972ex99da5d.htm EX-99.(A)(5)(D) Exhibit(a)(5)(D) Client Id: 77 THOMSON REUTERS STREETEVENTS EDITED TRANSCRIPT NOVN.VX - Novartis AG Acquisition of AveXis Inc - Investor Call 1 EVENT DATE/TIME: APRIL 09, 2018 / 6:00AM GMT THOMSON REUTERS STREETEVENTS \| www.streetevents.com \| Contact Us ©2018 Thomson Reuters. All rights reserved. Republication or redistribution of Thomson Reu
April 10, 2018	EX-99.(A)(5)E)	THOMSON REUTERS STREETEVENTS EDITED TRANSCRIPT AVXS - AveXis, Inc., Novartis AG - M&A Call EVENT DATE/TIME: APRIL 09, 2018 / 4:00PM GMT THOMSON REUTERS STREETEVENTS \| www.streetevents.com \| Contact Us ©2018 Thomson Reuters. All rights reserved. Repub Exhibit (a)(5)(E) THOMSON REUTERS STREETEVENTS EDITED TRANSCRIPT AVXS - AveXis, Inc.
April 9, 2018	SC TO-C	NVS / Novartis AG SC TO-C SC TO-C 1 a18-97971sctoc.htm SC TO-C UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE TO Tender Offer Statement under Section 14(d)(1) or 13(e)(1) of the Securities Exchange Act of 1934 AVEXIS, INC. (Name of Subject Company (Issuer)) NOVARTIS AM MERGER CORPORATION an indirect wholly-owned subsidiary of NOVARTIS AG (Name of Filing Persons (Offerors)) Common Stock, $0
April 9, 2018	EX-99.(A)(5)(A)	MEDIA RELEASE • COMMUNIQUE AUX MEDIAS • MEDIENMITTEILUNG Exhibit (a)(5)(A) Novartis International AG Novartis Global Communications CH-4002 Basel Switzerland http://www.
April 9, 2018	EX-99.(A)(5)(B)	Novartis AG Investor Relations Novartis EntersintoAgreement toAcquireAveXis Investor Presentation \| April 9, 2018 Exhibit (a)(5)(B) Novartis AG Investor Relations Novartis EntersintoAgreement toAcquireAveXis Investor Presentation \| April 9, 2018 Disclaimer This press release contains forward-looking statements within the meaning of the United States Private Securities Litigation Reform Act of 1995, that can generally be identified by words such as “to acquire,” “to strengthen,” “candidate,” “potential,” “stra
April 9, 2018	EX-99.1	Dear All, EX-99.1 2 ex99-1.htm Exhibit 99.1 Dear All, Early this morning we announced that AveXis has entered an agreement to be acquired by Novartis AG for $8.7B. Please read the press release here . As a result of your unwavering commitment, exceptional talent, and expertise, AveXis has quickly become recognized internationally as a true leader in gene therapy with highly differentiated capabilities compa
April 9, 2018	EX-99.2	April 9, 2018 Exhibit 99.2 April 9, 2018 Dear AveXis Team, I wanted to share with you my excitement about the opportunities ahead of us as we announce the signing of an agreement and plan of merger between our two companies. AveXis has built a team with exceptional depth of experience and shares our aspiration to deliver breakthrough transformative innovation in areas of high unmet medical need. I am very impre
April 9, 2018	SC14D9C	AVXS / AveXis, Inc. SC14D9C SC14D9C 1 sc14d-9c.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14D-9 (Rule 14d-101) SOLICITATION/RECOMMENDATION STATEMENT UNDER SECTION 14(d)(4) OF THE SECURITIES EXCHANGE ACT OF 1934 AVEXIS, INC. (Name of Subject Company) AVEXIS, INC. (Name of Person Filing Statement) COMMON STOCK, PAR VALUE $0.0001 PER SHARE (Title of Class of Securities) 05366U100 (CUSIP
April 9, 2018	SC14D9C	AVXS / AveXis, Inc. SC14D9C SC14D9C 1 sc14d-9c.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14D-9 (Rule 14d-101) SOLICITATION/RECOMMENDATION STATEMENT UNDER SECTION 14(d)(4) OF THE SECURITIES EXCHANGE ACT OF 1934 AVEXIS, INC. (Name of Subject Company) AVEXIS, INC. (Name of Person Filing Statement) COMMON STOCK, PAR VALUE $0.0001 PER SHARE (Title of Class of Securities) 05366U100 (CUSIP
April 9, 2018	EX-2.1	Agreement and Plan of Merger, dated as of April 6, 2018, among Novartis AG, Novartis AM Merger Corporation, and AveXis, Inc. Exhibit 2.1 EXECUTION VERSION AGREEMENT AND PLAN OF MERGER dated as of April 6, 2018, among NOVARTIS AG, NOVARTIS AM MERGER CORPORATION and AVEXIS, INC. TABLE OF CONTENTS Page ARTICLE I The Offer SECTION 1.01. The Offer 2 SECTION 1.02. Company Actions 4 ARTICLE II The Merger SECTION 2.01. The Merger 5 SECTION 2.02. Merger Closing 5 SECTION 2.03. Effective Time 6 SECTION 2.04. Effects of Merger 6 S
April 9, 2018	EX-3.1	Amendment to the Amended and Restated Bylaws of the Registrant (incorporated by reference to Exhibit 3.1 to the Current Report on Form 8-K filed on April 9, 2018). Exhibit 3.1 AVEXIS, INC. BYLAW AMENDMENT Section 47 of the Amended and Restated Bylaws of AveXis, Inc. is hereby amended to read as set forth below. Section 47. Forum. Unless the corporation consents in writing to the selection of an alternative forum, the Court of Chancery of the State of Delaware (or, if and only if the Court of Chancery of the State of Delaware lacks subject matter jurisdiction
April 9, 2018	8-K	Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year, Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Other Events 8-K 1 form8k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 6, 2018 AVEXIS, INC. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-37693 90-1038273 (Commis
April 9, 2018	EX-99.1	AveXis Enters Agreement to be Acquired by Novartis AG for $8.7 billion Exhibit 99.1 Media Inquiries: Lauren Barbiero W2O Group 646-564-2156 [email protected] Investor Inquiries: Jim Goff AveXis, Inc. 650-862-4134 [email protected] AveXis Enters Agreement to be Acquired by Novartis AG for $8.7 billion ● Novartis to acquire AveXis for $218 per share in cash ● AveXis’ lead product candidate, AVXS-101, expected to enhance Novartis’s position as a gene therapy and neu
March 27, 2018	EX-99.1	AveXis Gene Therapy Awarded SAKIGAKE Designation for Spinal Muscular Atrophy Type 1 Exhibit 99.1 Media Inquiries: Lauren Barbiero W2O Group 646-564-2156 [email protected] Investor Inquiries: Jim Goff AveXis, Inc. 650-862-4134 [email protected] AveXis Gene Therapy Awarded SAKIGAKE Designation for Spinal Muscular Atrophy Type 1 Chicago, Ill. (March 27, 2018) — AveXis, Inc. (NASDAQ: AVXS), a clinical-stage gene therapy company developing treatments for patients suffering from ra
March 27, 2018	8-K	Financial Statements and Exhibits, Other Events 8-K 1 a18-905518k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 27, 2018 AVEXIS, INC. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-37693 90-10382
March 13, 2018	EX-99.1	AveXis Enters into Licensing Agreement with Genethon Includes exclusive worldwide rights to AAV9-SMN product and route of administration Exhibit 99.1 Media Inquiries: Lauren Barbiero W2O Group 646-564-2156 [email protected] Investor Inquiries: Jim Goff AveXis, Inc. 650-862-4134 [email protected] Genethon Press Contact: Stéphanie Bardon +330169471278 [email protected] AveXis Enters into Licensing Agreement with Genethon Includes exclusive worldwide rights to AAV9-SMN product and route of administration Chicago, Ill. and Ev
March 13, 2018	8-K	Regulation FD Disclosure, Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 9, 2018 AVEXIS, INC. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-37693 90-1038273 (Commission File No.) (I
February 28, 2018	EX-21.1	List of subsidiaries of the Registrant. Exhibit 21.1 List of Subsidiaries AveXis Switzerland AveXis EU Ltd. Incorporated 2/2/15 Ireland AveXis Switzerland GmbH Incorporated 12/13/17 Switzerland
February 28, 2018	EX-10.23	Employment Agreement dated February 26, 2018 by and between the Registrant and Sean Nolan Exhibit 10.23 AVEXIS, INC. AMENDED AND RESTATED EMPLOYMENT AGREEMENT This Amended and Restated Employment Agreement (the “Agreement”) made between Sean Nolan (the “Executive”) and AveXis, Inc. (the “Company”), amends and restates in its entirety the Employment Agreement between the Company and Executive that was effective as of June 8, 2015. This Agreement is effective as of February 26, 2018 (the
February 28, 2018	EX-10.8.1	First Amendment to License Agreement dated January 8, 2018 between the Registrant and REGENXBIO Inc. Exhibit 10.8.1 CONFIDENTIAL TREATMENT REQUESTED FIRST AMENDMENT TO LICENSE AGREEMENT This First Amendment to License Agreement (the “First Amendment”) is made as of January 8, 2018 (the “First Amendment Effective Date”) by and between REGENXBIO Inc. (formerly known as ReGenX Biosciences, LLC), a corporation organized under the laws of the State of Delaware, with offices at 9600 Blackwell Road, Sui
February 28, 2018	EX-10.24	Employment Agreement dated February 26, 2018 by and between the Registrant and Brian Kaspar. Exhibit 10.24 AVEXIS, INC. AMENDED AND RESTATED EMPLOYMENT AGREEMENT This Amended and Restated Employment Agreement (the “Agreement”) made between Dr. Brian K. Kaspar, Ph.D. (the “Executive”) and AveXis, Inc. (the “Company”) amends and restates in its entirety the Employment Agreement between the Company and Executive that was effective as of January 1, 2016. This Agreement is effective as of Febr
February 28, 2018	10-K	AVXS / AveXis, Inc. 10-K (Annual Report) Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2017 Commission file number 001-37693 AVEXIS, INC. State of Delaware 90-1038273 Incorporated under the Laws of the I.R.S. Employer Identification No. 2275 Half Day Rd, Suite 20
February 28, 2018	EX-10.25	Employment Agreement dated February 26, 2018 by and between the Registrant and Sukumar Nagendran. EX-10.25 4 avxs-20171231ex102551729.htm EX-10.25 Exhibit 10.25 AVEXIS, INC. AMENDED AND RESTATED EMPLOYMENT AGREEMENT This Amended and Restated Employment Agreement (the “Agreement”) made between Sukumar Nagendran, M.D. (the “Executive”) and AveXis, Inc. (the “Company”) amends and restates in its entirety the Employment Agreement between the Company and Executive that was effective as of August 7,
February 28, 2018	EX-10.26	Employment Agreement dated February 26, 2018 by and between the Registrant and James L’Italien. Exhibit 10.26 AVEXIS, INC. AMENDED AND RESTATED EMPLOYMENT AGREEMENT This Amended and Restated Employment Agreement (the “Agreement”) made between James L’Italien, Ph.D. (the “Executive”) and AveXis, Inc. (the “Company”) amends and restates in its entirety the Employment Agreement between the Company and Executive that was effective as of July 14, 2015. This Agreement is effective as of February 2
February 27, 2018	EX-99.2	February 27, 2018 Rett Syndrome and Genetic ALS with SOD1 Mutation Exhibit 99.2 February 27, 2018 Rett Syndrome and Genetic ALS with SOD1 Mutation 2 This presentation contains forward-looking statements, including statements about: the timing, progress and results of preclinical studies for AVXS-201 and AVXS-301, including statements regarding the timing of preclinical studies and regulatory submissions, and our manufacturing strategy and developments. These stat
February 27, 2018	EX-99.1	AveXis Reports Fourth Quarter and Full Year 2017 Financial and Operating Results On track to request pre-BLA meeting with FDA in Q2 2018 Intends to initiate pivotal trial in SMA Type 1 in Europe and multi-national pre-symptomatic SMA study in t EX-99.1 2 a18-72191ex99d1.htm EX-99.1 Exhibit 99.1 Media Inquiries: Lauren Barbiero W2O Group 646-564-2156 [email protected] Investor Inquiries: Jim Goff AveXis, Inc. 650-862-4134 [email protected] AveXis Reports Fourth Quarter and Full Year 2017 Financial and Operating Results — On track to request pre-BLA meeting with FDA in Q2 2018 — — Intends to initiate pivotal trial in SMA Type 1 in Euro
February 27, 2018	8-K	Regulation FD Disclosure, Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 27, 2018 AVEXIS, INC. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-37693 90-1038273 (Commission File No.
February 14, 2018	SC 13G/A	AVXS / AveXis, Inc. / RA Capital Management, LLC - SCHEDULE 13G/A Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* AveXis, Inc. (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 05366U100 (CUSIP Number) December 31, 2017 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule purs
February 13, 2018	SC 13G/A	AVXS / AveXis, Inc. / PBM Capital Investments, LLC - SC 13G/A Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1 )* AveXis, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 05366U100 (CUSIP Number) December 31, 2017 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: ¨ Ru
February 8, 2018	SC 13G	AVXS / AveXis, Inc. / VANGUARD GROUP INC Passive Investment SC 13G 1 avexisinc.htm SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 0 )* Name of issuer: Avexis Inc Title of Class of Securities: Common Stock CUSIP Number: 05366U100 Date of Event Which Requires Filing of this Statement: December 31, 2017 Check the appropriate box to designate the rule pursuant to which this Sched
January 30, 2018	EX-99.1	AveXis to Initiate Screening for Remaining Patients in Pivotal Trial of AVXS-101 for SMA Type 1 Following Review of Preliminary Data from First Three Patients Exhibit 99.1 Media Inquiries: Lauren Barbiero W2O Group 646-564-2156 [email protected] Investor Inquiries: Jim Goff AveXis, Inc. 650-862-4134 [email protected] AveXis to Initiate Screening for Remaining Patients in Pivotal Trial of AVXS-101 for SMA Type 1 Following Review of Preliminary Data from First Three Patients Chicago, Ill. (January 30, 2018) ? AveXis, Inc. (NASDAQ: AVXS), a clinical-st
January 30, 2018	8-K	Financial Statements and Exhibits, Other Events 8-K 1 a18-507018k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 30, 2018 AVEXIS, INC. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-37693 90-103
January 18, 2018	8-K	Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Other Events 8-K 1 a18-312138k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 16, 2018 AVEXIS, INC. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-37693 90-103
January 18, 2018	EX-99.1	AveXis Announces Pricing of Public Offering of Common Stock EX-99.1 4 a18-31213ex99d1.htm EX-99.1 Exhibit 99.1 Media Inquiries: Lauren Barbiero W2O Group 646-564-2156 [email protected] Investor Inquiries: Jim Goff AveXis, Inc. 650-862-4134 [email protected] AveXis Announces Pricing of Public Offering of Common Stock Chicago, Ill. (January 16, 2018) — AveXis, Inc. (NASDAQ: AVXS) today announced the pricing of an underwritten public offering of 3,921,600
January 18, 2018	EX-1.1	AveXis, Inc. Common Stock Underwriting Agreement EX-1.1 2 a18-31213ex1d1.htm EX-1.1 Exhibit 1.1 Execution Version AveXis, Inc. Common Stock Underwriting Agreement January 16, 2018 Goldman Sachs & Co. LLC Jefferies LLC Merrill Lynch, Pierce, Fenner & Smith Incorporated As representatives of the several Underwriters named in Schedule I hereto, c/o Goldman Sachs & Co. LLC 200 West Street, New York, New York 10282 c/o Jefferies LLC 520 Madison Avenu
January 18, 2018	424B5	CALCULATION OF REGISTRATION FEE Title of each class of securities to be registered Amount to be registered(1) Proposed maximum offering price per share Proposed maximum aggregate offering price Amount of registration fee(2) Common stock, $0.0001 par Use these links to rapidly review the document TABLE OF CONTENTS Table of Contents Filed Pursuant to Rule 424(b)(5) Registration No.
January 16, 2018	424B5	Subject to Completion, dated January 16, 2018 Use these links to rapidly review the document TABLE OF CONTENTS Table of Contents Filed Pursuant to Rule 424(b)(5) Registration No.
January 16, 2018	EX-99.2	AveXis Announces Expanded Clinical Development Program for AVXS-101 in Spinal Muscular Atrophy Company to expand study of AVXS-101 into additional SMA populations including pre-symptomatic, older pediatric Type 2 and Type 3 SMA patients First p Exhibit 99.2 Media Inquiries: Lauren Barbiero W2O Group 646-564-2156 [email protected] Investor Inquiries: Jim Goff AveXis, Inc. 650-862-4134 [email protected] AveXis Announces Expanded Clinical Development Program for AVXS-101 in Spinal Muscular Atrophy ? Company to expand study of AVXS-101 into additional SMA populations including pre-symptomatic, older pediatric Type 2 and Type 3 SMA patien
January 16, 2018	8-K	Regulation FD Disclosure, Financial Statements and Exhibits, Results of Operations and Financial Condition, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 16, 2018 AVEXIS, INC. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-37693 90-1038273 (Commission File No.)
January 16, 2018	EX-99.1	AveXis Announces Proposed Public Offering of Common Stock EX-99.1 2 a18-32321ex99d1.htm EX-99.1 Exhibit 99.1 Media Inquiries: Lauren Barbiero W2O Group 646-564-2156 [email protected] Investor Inquiries: Jim Goff AveXis, Inc. 650-862-4134 [email protected] AveXis Announces Proposed Public Offering of Common Stock Chicago, Ill. (January 16, 2018) — AveXis, Inc. (NASDAQ: AVXS) today announced that it intends to offer and sell, subject to market conditio
January 9, 2018	EX-99.1	PRESS RELEASE REGENXBIO and AveXis Announce Expansion of Relationship through Amended License Agreement for the Development and Commercialization of Treatments for Spinal Muscular Atrophy AveXis acquires exclusive rights to entire NAV Technology Plat Exhibit 99.1 PRESS RELEASE REGENXBIO and AveXis Announce Expansion of Relationship through Amended License Agreement for the Development and Commercialization of Treatments for Spinal Muscular Atrophy AveXis acquires exclusive rights to entire NAV Technology Platform for the development of treatments for SMA Amended agreement permits assignment by AveXis upon a change of control without REGENXBIO?
January 9, 2018	8-K	Regulation FD Disclosure, Entry into a Material Definitive Agreement, Financial Statements and Exhibits 8-K 1 a18-253118k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 8, 2018 AVEXIS, INC. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-37693 90-1038
January 4, 2018	8-K	Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 4, 2018 AVEXIS, INC. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-37693 90-1038273 (Commission File No.)
January 4, 2018	EX-99.1	AveXis Announces Alignment with FDA on Next Steps Toward a BLA Submission for AVXS-101 in SMA Type 1 Company to submit information requested by FDA to the IND on an on-going basis AveXis plans to request a pre-BLA meeting in Q2 2018 Confere Exhibit 99.1 Media Inquiries: Lauren Barbiero W2O Group 646-564-2156 [email protected] Investor Inquiries: Jim Goff AveXis, Inc. 650-862-4134 [email protected] AveXis Announces Alignment with FDA on Next Steps Toward a BLA Submission for AVXS-101 in SMA Type 1 ? Company to submit information requested by FDA to the IND on an on-going basis ? ? AveXis plans to request a pre-BLA meeting in Q2 20
December 13, 2017	EX-99.2	AveXis Announces Plan to Initiate Phase 1 Trial in SMA Type 2 Utilizing Intrathecal Delivery of AVXS-101 – The FDA notified AveXis it may initiate the Phase 1 trial in SMA Type 2 based on a review of data provided by the company; trial to commence im EX-99.2 3 a17-283771ex99d2.htm EX-99.2 Exhibit 99.2 Media Inquiries: Lauren Barbiero W2O Group 646-564-2156 [email protected] Investor Inquiries: Jim Goff AveXis, Inc. 650-862-4134 [email protected] AveXis Announces Plan to Initiate Phase 1 Trial in SMA Type 2 Utilizing Intrathecal Delivery of AVXS-101 – The FDA notified AveXis it may initiate the Phase 1 trial in SMA Type 2 based on a review
December 13, 2017	8-K	Regulation FD Disclosure, Financial Statements and Exhibits, Other Events 8-K 1 a17-2837718k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 13, 2017 AVEXIS, INC. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-37693 90-1
December 13, 2017	EX-99.1	December 2017 Phase 1 SMA Type 2 Trial Initiation and Study Design Exhibit 99.1 December 2017 Phase 1 SMA Type 2 Trial Initiation and Study Design 2 This presentation contains forward-looking statements, including statements about: the timing, progress and results of preclinical studies and clinical trials for AVXS-101, including statements regarding the potential of AVXS-101 to positively impact quality of life and alter the course of disease in patients with SM
November 13, 2017	SC 13D/A	AVXS / AveXis, Inc. / Flynn James E Activist Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D [Rule 13d-101] INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 24.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13D-2(a) (Amendment No. 5)* AveXis, Inc. (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 05366U100 (CUSIP Number) David Clark Deerfield Mgmt, L.P. 780 T
November 9, 2017	10-Q	AVXS / AveXis, Inc. 10-Q (Quarterly Report) avxsCurrentFolio10Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.
November 9, 2017	8-K	AVXS / AveXis, Inc. 8-K (Current Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 9, 2017 AVEXIS, INC. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-37693 90-1038273 (Commission File No.)
November 9, 2017	EX-99.1	AveXis Reports Third Quarter 2017 Financial and Operating Results — First patient has been dosed in pivotal trial of AVXS-101 for SMA Type 1 — — Conference call and webcast November 9 at 4:30 p.m. EST — EX-99.1 2 a17-263121ex99d1.htm EX-99.1 Exhibit 99.1 Media Inquiries: Lauren Barbiero W2O Group 646-564-2156 [email protected] Investor Inquiries: Jim Goff AveXis, Inc. 650-862-4134 [email protected] AveXis Reports Third Quarter 2017 Financial and Operating Results — First patient has been dosed in pivotal trial of AVXS-101 for SMA Type 1 — — Conference call and webcast November 9 at 4:30 p.m.
November 2, 2017	8-K	Financial Statements and Exhibits, Other Events 8-K 1 a17-2499418k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 1, 2017 AVEXIS, INC. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-37693 90-10
November 2, 2017	EX-99.1	AveXis Announces New England Journal of Medicine Publication of Phase 1 Data of AVXS-101 Gene Replacement Therapy in Spinal Muscular Atrophy Type 1 — Patients who received a single dose of AVXS-101 resulted in longer survival, superior achievement of Exhibit 99.1 Media Inquiries: Lauren Barbiero W2O Group 646-564-2156 [email protected] Investor Inquiries: Jim Goff AveXis, Inc. 650-862-4134 [email protected] AveXis Announces New England Journal of Medicine Publication of Phase 1 Data of AVXS-101 Gene Replacement Therapy in Spinal Muscular Atrophy Type 1 ? Patients who received a single dose of AVXS-101 resulted in longer survival, superior
October 19, 2017	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers 8-K 1 a17-2420518k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 14, 2017 AVEXIS, INC. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-37693 90-10
October 3, 2017	8-K	Financial Statements and Exhibits, Other Events 8-K 1 a17-2279218k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 3, 2017 AVEXIS, INC. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-37693 90-103
October 3, 2017	EX-99.1	AveXis to Report Top-line Data from the Phase 1 Clinical Trial of AVXS-101 in SMA Type 1 at the International Annual Congress of the World Muscle Society — All patients were alive and event-free at 20 months of age as of the August 7, 2017 data cut-o Exhibit 99.1 Media Inquiries: Lauren Barbiero W2O Group 646-564-2156 [email protected] Investor Inquiries: Jim Goff AveXis, Inc. 650-862-4134 [email protected] AveXis to Report Top-line Data from the Phase 1 Clinical Trial of AVXS-101 in SMA Type 1 at the International Annual Congress of the World Muscle Society ? All patients were alive and event-free at 20 months of age as of the August 7, 2
September 29, 2017	8-K	Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 29, 2017 AVEXIS, INC. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-37693 90-1038273 (Commission File No
September 29, 2017	EX-99.1	AveXis Announces Plan to Initiate Pivotal Trial of AVXS-101 in SMA Type 1 Using Product from New GMP Commercial Process — FDA notified AveXis it may initiate pivotal trial based on a review of data provided by the company following CMC Type B meeting Exhibit 99.1 Media Inquiries: Lauren Barbiero W2O Group 646-564-2156 [email protected] Investor Inquiries: Jim Goff AveXis, Inc. 650-862-4134 [email protected] AveXis Announces Plan to Initiate Pivotal Trial of AVXS-101 in SMA Type 1 Using Product from New GMP Commercial Process ? FDA notified AveXis it may initiate pivotal trial based on a review of data provided by the company following CMC
September 8, 2017	SC 13D/A	AVXS / AveXis, Inc. / Flynn James E Activist Investment SC 13D/A 1 e616565sc13da-avexis.htm SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D [Rule 13d-101] INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 24.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13D-2(a) (Amendment No. 4)* AveXis, Inc. (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 05366U100 (CUSIP Number) Da
August 22, 2017	SC 13D/A	AVXS / AveXis, Inc. / Flynn James E Activist Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D [Rule 13d-101] INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 24.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13D-2(a) (Amendment No. 3)* AveXis, Inc. (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 05366U100 (CUSIP Number) David Clark Deerfield Mgmt, L.P. 780 T
August 10, 2017	10-Q	AveXis 10-Q (Quarterly Report) 10-Q 1 avxs-20170630x10q.htm 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2017 OR ☐TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period fr
August 10, 2017	EX-10.1	Exclusive License Agreement dated September 9, 2016, by and between the Registrant and the Research Institute at Nationwide Children's Hospital, with respect to Amyotrophic Lateral Sclerosis (incorporated by reference to Exhibit 10.1 to the Quarterly Report on Form 10-Q for the period ended June 30, 2017 filed on August 10, 2017). EX-10.1 2 avxs-20170630ex10127dc3b.htm EX-10.1 Exhibit 10.1 CONFIDENTIAL TREATMENT REQUESTED EXCLUSIVE LICENSE AGREEMENT BETWEEN THE RESEARCH INSTITUTE AT NATIONWIDE CHILDREN’S HOSPITAL AND AVEXIS, INC. This Exclusive License Agreement (the “Agreement”) is entered into as of the last date of the signatures below (the “Effective Date”) by and between the Research Institute at Nationwide Children’s
August 10, 2017	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K 1 a17-2002218k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 10, 2017 AVEXIS, INC. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-37693 90-103
August 10, 2017	EX-99.1	AveXis Reports Second Quarter 2017 Financial and Operating Results — AveXis on track to submit potency assay data to FDA in August — — Conference call and webcast August 10 at 4:30 p.m. EDT — Exhibit 99.1 Media Inquiries: Lauren Barbiero W2O Group 646-564-2156 [email protected] Investor Inquiries: Jim Goff AveXis, Inc. 650-862-4134 [email protected] AveXis Reports Second Quarter 2017 Financial and Operating Results ? AveXis on track to submit potency assay data to FDA in August ? ? Conference call and webcast August 10 at 4:30 p.m. EDT ? Chicago, Ill. (August 10, 2017) ? AveXis, In
July 14, 2017	EX-16.1	Letter dated July 14, 2017 from PricewaterhouseCoopers LLP (incorporated by reference to Exhibit 16.1 to the Current Report on Form 8-K filed on July 14, 2017). Exhibit 16.1 July 14, 2017 Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Commissioners: We have read the statements made by AveXis, Inc. (copy attached), which we understand will be filed with the Securities and Exchange Commission, pursuant to Item 4.01 of Form 8-K, as part of the Form 8-K of AveXis, Inc. dated July 11, 2017. We agree with the statements concerning ou
July 14, 2017	8-K	Financial Statements and Exhibits, Changes in Registrant's Certifying Accountant UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 11, 2017 AVEXIS, INC. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-37693 90-1038273 (Commission File No.) (I
June 22, 2017	EX-99.1	AveXis Announces Pricing of Public Offering of Common Stock Exhibit 99.1 Media Inquiries: Lauren Barbiero W2O Group 646-564-2156 [email protected] Investor Inquiries: Jim Goff AveXis, Inc. 650-862-4134 [email protected] AveXis Announces Pricing of Public Offering of Common Stock Chicago, Ill. (June 20, 2017) ? AveXis, Inc. (NASDAQ: AVXS) today announced the pricing of an underwritten public offering of 3,575,000 shares of its common stock. The net proc
June 22, 2017	8-K	AveXis 8-K (Current Report/Significant Event) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 20, 2017 AVEXIS, INC. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-37693 90-1038273 (Commission File No.) (I
June 22, 2017	EX-1.1	AveXis, Inc. Common Stock Underwriting Agreement Exhibit 1.1 Execution Version AveXis, Inc. Common Stock Underwriting Agreement June 20, 2017 Goldman Sachs & Co. LLC Jefferies LLC Merrill Lynch, Pierce, Fenner & Smith Incorporated As representatives of the several Underwriters named in Schedule I hereto, c/o Goldman Sachs & Co. LLC 200 West Street, New York, New York 10282 c/o Jefferies LLC 520 Madison Avenue New York, New York 10022 c/o Merrill
June 22, 2017	424B5	CALCULATION OF REGISTRATION FEE Title of each class of securities to be registered Amount to be registered(1) Proposed maximum offering price per share Proposed maximum aggregate offering price Amount of registration fee(2) Common stock, $0.0001 par Use these links to rapidly review the document TABLE OF CONTENTS Table of Contents Filed Pursuant to Rule 424(b)(5) Registration No.
June 19, 2017	8-K	Regulation FD Disclosure, Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 19, 2017 AVEXIS, INC. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-37693 90-1038273 (Commission File No.) (I
June 19, 2017	EX-99.1	AveXis Announces Proposed Public Offering of Common Stock Exhibit 99.1 Media Inquiries: Lauren Barbiero W2O Group 646-564-2156 [email protected] Investor Inquiries: Jim Goff AveXis, Inc. 650-862-4134 [email protected] AveXis Announces Proposed Public Offering of Common Stock Chicago, Ill. (June 19, 2017) ? AveXis, Inc. (NASDAQ: AVXS) today announced that it intends to offer and sell, subject to market conditions, up to $200 million of shares of its c
June 19, 2017	424B5	Subject to Completion, dated June 19, 2017 424B5 1 a2232481z424b5.htm 424B5 Use these links to rapidly review the document TABLE OF CONTENTS Table of Contents Filed Pursuant to Rule 424(b)(5) Registration No. 333-216814 This information in this preliminary prospectus supplement is not complete and may be changed. A registration statement relating to these securities has been filed with the Securities and Exchange Commission and is effectiv
June 14, 2017	EX-99.1	AveXis Announces Alignment with FDA on GMP Commercial Manufacturing Process for AVXS-101 — Agency is supportive of proposed analytical methods and comparability protocol — — AveXis anticipates initiating U.S. SMA Type 1 and Type 2 trials in Q3 2017 w EX-99.1 2 a17-152371ex99d1.htm EX-99.1 Exhibit 99.1 Media Inquiries: Lauren Barbiero W2O Group 646-564-2156 [email protected] Investor Inquiries: Jim Goff AveXis, Inc. 650-862-4134 [email protected] AveXis Announces Alignment with FDA on GMP Commercial Manufacturing Process for AVXS-101 — Agency is supportive of proposed analytical methods and comparability protocol — — AveXis anticipates init
June 14, 2017	8-K	Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 14, 2017 AVEXIS, INC. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-37693 90-1038273 (Commission File No.) (I
June 7, 2017	8-K	Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 7, 2017 AVEXIS, INC. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-37693 90-1038273 (Commission File No.) (IR
June 7, 2017	EX-99.1	AveXis and REGENXBIO Announce New Exclusive Worldwide Licenses for the Treatment of Two Rare Neurological Monogenic Disorders Using NAV AAV9 Vector — REGENXBIO grants AveXis new licenses to NAV AAV9 vector for the development and commercialization of Exhibit 99.1 AveXis and REGENXBIO Announce New Exclusive Worldwide Licenses for the Treatment of Two Rare Neurological Monogenic Disorders Using NAV AAV9 Vector ? REGENXBIO grants AveXis new licenses to NAV AAV9 vector for the development and commercialization of treatments for Rett syndrome (RTT) and amyotrophic lateral sclerosis (ALS) ? Chicago, Ill. and Rockville, Md. (June 7, 2017) ? AveXis, I
June 2, 2017	8-K	Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 30, 2017 AVEXIS, INC. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-37693 90-1038273 (Commission File No.) (IR
May 31, 2017	SC 13D/A	AVXS / AveXis, Inc. / Flynn James E Activist Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D [Rule 13d-101] INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 24.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13D-2(a) (Amendment No. 2)* AveXis, Inc. (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 05366U100 (CUSIP Number) David Clark Deerfield Mgmt, L.P. 780 T
May 11, 2017	10-Q	AveXis 10-Q (Quarterly Report) Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2017 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 0
May 11, 2017	EX-99.1	AveXis Reports First Quarter 2017 Financial and Operating Results — Conference call of April 25 was in lieu of Q1 2017 earnings call — Exhibit 99.1 Media Inquiries: Lauren Barbiero W2O Group 646-564-2156 [email protected] Investor Inquiries: Jim Goff AveXis, Inc. 650-862-4134 [email protected] AveXis Reports First Quarter 2017 Financial and Operating Results ? Conference call of April 25 was in lieu of Q1 2017 earnings call ? Chicago, Ill. (May 11, 2017) ? AveXis, Inc. (NASDAQ: AVXS), a clinical-stage gene therapy company dev
May 11, 2017	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 11, 2017 AVEXIS, INC. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-37693 90-1038273 (Commission File No.) (IR
April 25, 2017	EX-99.1	April 25, 2017 AVXS-101 Clinical Update As Presented at the American Academy of Neurology 2017 Annual Meeting Exhibit 99.1 April 25, 2017 AVXS-101 Clinical Update As Presented at the American Academy of Neurology 2017 Annual Meeting 2 Forward-Looking Statements This presentation contains forward-looking statements, including statements about: the timing, progress and results of preclinical studies and clinical trials for AVXS-101, including statements regarding the timing of initiation of studies or trial
April 25, 2017	EX-99.2	AveXis Presents Results from Phase 1 Trial of AVXS-101 in SMA Type 1 at the Annual Meeting of the American Academy of Neurology — 10 of 12 patients on proposed therapeutic dose sat unassisted; patient videos demonstrate motor milestone achievement no EX-99.2 3 a17-115582ex99d2.htm EX-99.2 Exhibit 99.2 Media Inquiries: Lauren Barbiero W2O Group 646-564-2156 [email protected] Investor Inquiries: Jim Goff AveXis, Inc. 650-862-4134 [email protected] AveXis Presents Results from Phase 1 Trial of AVXS-101 in SMA Type 1 at the Annual Meeting of the American Academy of Neurology — 10 of 12 patients on proposed therapeutic dose sat unassisted; pati
April 25, 2017	8-K	AveXis 8-K (Current Report/Significant Event) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 25, 2017 AVEXIS, INC. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-37693 90-1038273 (Commission File No.) (
April 19, 2017	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers 8-K 1 a17-1155818k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 13, 2017 AVEXIS, INC. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-37693 90-1038
April 19, 2017	DEF 14A	AveXis DEF 14A Use these links to rapidly review the document Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.
March 17, 2017	S-3ASR	AveXis S-3ASR Use these links to rapidly review the document TABLE OF CONTENTS As filed with the Securities and Exchange Commission on March 17, 2017 Registration No.
March 17, 2017	EX-4.7	AVEXIS, INC. , AS WARRANT AGENT FORM OF DEBT SECURITIES WARRANT AGREEMENT DATED AS OF [ ], 20 EX-4.7 5 a2231415zex-47.htm EX-4.7 EXHIBIT 4.7 AVEXIS, INC. and , AS WARRANT AGENT FORM OF DEBT SECURITIES WARRANT AGREEMENT DATED AS OF [ ], 20 AVEXIS, INC. FORM OF DEBT SECURITIES WARRANT AGREEMENT DEBT SECURITIES WARRANT AGREEMENT (this “Agreement”), dated as of between AVEXIS, INC., a Delaware corporation (the “Company”), and , a [corporation] [national banking association] organized and exist
March 17, 2017	EX-4.2	AVEXIS, INC., Dated as of , 20 Debt Securities EXHIBIT 4.2 AVEXIS, INC., Issuer AND [TRUSTEE], Trustee INDENTURE Dated as of , 20 Debt Securities Table of Contents Page ARTICLE 1 DEFINITIONS 1 Section 1.01 Definitions of Terms 1 ARTICLE 2 ISSUE, DESCRIPTION, TERMS, EXECUTION, REGISTRATION AND EXCHANGE OF SECURITIES 5 Section 2.01 Designation and Terms of Securities 5 Section 2.02 Form of Securities and Trustees Certificate 8 Section 2.03 Deno
March 17, 2017	EX-4.6	AVEXIS, INC. , AS WARRANT AGENT FORM OF PREFERRED STOCK WARRANT AGREEMENT DATED AS OF [ ], 20 EXHIBIT 4.6 AVEXIS, INC. and , AS WARRANT AGENT FORM OF PREFERRED STOCK WARRANT AGREEMENT DATED AS OF [ ], 20 AVEXIS, INC. FORM OF PREFERRED STOCK WARRANT AGREEMENT PREFERRED STOCK WARRANT AGREEMENT (this ?Agreement?), dated as of between AVEXIS, INC., a Delaware corporation (the ?Company?), and , a [corporation] [national banking association] organized and existing under the laws of and having a
March 17, 2017	EX-4.5	AVEXIS, INC. , AS WARRANT AGENT FORM OF COMMON STOCK WARRANT AGREEMENT DATED AS OF [ ], 20 EXHIBIT 4.5 AVEXIS, INC. and , AS WARRANT AGENT FORM OF COMMON STOCK WARRANT AGREEMENT DATED AS OF [ ], 20 AVEXIS, INC. FORM OF COMMON STOCK WARRANT AGREEMENT COMMON STOCK WARRANT AGREEMENT (this ?Agreement?), dated as of between AVEXIS, INC., a Delaware corporation (the ?Company?), and , a [corporation] [national banking association] organized and existing under the laws of and having a corporate
March 16, 2017	10-K	AveXis 10-K (Annual Report) Use these links to rapidly review the document TABLE OF CONTENTS [Check later] Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.
March 16, 2017	8-K	AveXis 8-K (Current Report/Significant Event) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 16, 2017 AVEXIS, INC. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-37693 90-1038273 (Commission File No.) (
March 16, 2017	EX-99.2	March 16, 2017 AVXS-101 Topline Phase 1 Clinical Trial Results Fourth Quarter and Full Year 2016 Financial and Operating Results Exhibit 99.2 March 16, 2017 AVXS-101 Topline Phase 1 Clinical Trial Results Fourth Quarter and Full Year 2016 Financial and Operating Results 2 Forward-Looking Statements This presentation contains forward-looking statements, including statements about: the timing, progress and results of preclinical studies and clinical trials for AVXS-101, including statements regarding the timing of initiation
March 16, 2017	EX-99.1	AveXis Reports Topline Results from Phase 1 Trial of AVXS-101 in SMA Type 1 and Fourth Quarter and Full Year 2016 Financial and Operating Results No new treatment-related safety or tolerability findings No new events reported and 15 of 15 patie Exhibit 99.1 Media Inquiries: Lauren Barbiero W2O Group 646-564-2156 [email protected] Investor Inquiries: Jim Goff AveXis, Inc. 650-862-4134 [email protected] AveXis Reports Topline Results from Phase 1 Trial of AVXS-101 in SMA Type 1 and Fourth Quarter and Full Year 2016 Financial and Operating Results No new treatment-related safety or tolerability findings No new events reported and
March 16, 2017	EX-21.1	List of Subsidiaries QuickLinks - Click here to rapidly navigate through this document Exhibit 21.1 List of Subsidiaries AveXis EU Ltd. Incorporated 2/2/15 Ireland QuickLinks Exhibit 21.1 List of Subsidiaries
February 14, 2017	SC 13G/A	AVXS / AveXis, Inc. / RA Capital Healthcare Fund LP - SC 13G/A Passive Investment SC 13G/A 1 v459263sc13ga.htm SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* AveXis, Inc. (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 05366U100 (CUSIP Number) December 31, 2016 (Date of Event Which Requires Filing of this Statement) Check the appr
February 14, 2017	SC 13G/A	AVXS / AveXis, Inc. / RA Capital Management, LLC - SC 13G/A Passive Investment SC 13G/A 1 v459262sc13ga.htm SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* AveXis, Inc. (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 05366U100 (CUSIP Number) December 31, 2016 (Date of Event Which Requires Filing of this Statement) Check the appr
February 14, 2017	SC 13G	AVXS / AveXis, Inc. / PBM Capital Investments, LLC - SCHEDULE 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 AVEXIS, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 05366U100 (CUSIP Number) DECEMBER 31, 2016 (Date of Event Which Requires Filing of This Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: ¨ Rule 13d
February 7, 2017	SC 13G	AVXS / AveXis, Inc. / ROCHE HOLDING LTD - SC 13G Passive Investment SC 13G 1 a17-39741sc13g.htm SC 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 AVEXIS, INC. (Name of Issuer) COMMON STOCK (Title of Class of Securities) 05366U100 (CUSIP Number) DECEMBER 31, 2016 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which
February 6, 2017	EX-99.2	AveXis Announces Single-Arm Design for European Pivotal Study of AVXS-101 in SMA Type 1 Patients — Company provides update following receipt of Scientific Advice response from the EMA — Exhibit 99.2 Media Inquiries: Lauren Barbiero W2O Group 646-564-2156 [email protected] Investor Inquiries: Jim Goff AveXis, Inc. 650-862-4134 [email protected] AveXis Announces Single-Arm Design for European Pivotal Study of AVXS-101 in SMA Type 1 Patients ? Company provides update following receipt of Scientific Advice response from the EMA ? Chicago, Ill. (February 6, 2017) ? AveXis, Inc. (N
February 6, 2017	EX-99.1	AveXis Gene Therapy AVXS-101 Granted Access into EMA PRIME Program for Spinal Muscular Atrophy Type 1 — PRIME intended to optimize development and speed evaluation of AVXS-101 through enhanced interactions and early dialogue with EMA — EX-99.1 2 a17-38481ex99d1.htm EX-99.1 Exhibit 99.1 Media Inquiries: Lauren Barbiero W2O Group 646-564-2156 [email protected] Investor Inquiries: Jim Goff AveXis, Inc. 650-862-4134 [email protected] AveXis Gene Therapy AVXS-101 Granted Access into EMA PRIME Program for Spinal Muscular Atrophy Type 1 — PRIME intended to optimize development and speed evaluation of AVXS-101 through enhanced inter
February 6, 2017	8-K	Financial Statements and Exhibits, Other Events 8-K 1 a17-384818k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 31, 2017 AVEXIS, INC. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-37693 90-103
February 2, 2017	SC 13G/A	AVXS / AveXis, Inc. / JDH Investment Management, LLC - AMENDMENT NO. 1 Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 1)* AveXis, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 05366U100 (CUSIP Number) January 31, 2017 (Date of Event Which Requires Filing of This Statement) Check the appropriate box to designate the rule pursuant to which this Schedule
February 2, 2017	SC 13D/A	AVXS / AveXis, Inc. / Flynn James E Activist Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D [Rule 13d-101] INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 24.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13D-2(a) (Amendment No. 1)* AveXis, Inc. (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 05366U100 (CUSIP Number) David Clark Deerfield Mgmt, L.P. 780 T
February 1, 2017	SC 13G	AVXS / AveXis, Inc. / JDH Investment Management, LLC Passive Investment SC 13G 1 s131170sc13g.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* AveXis, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 05366U100 (CUSIP Number) December 31, 2016 (Date of Event Which Requires Filing of This Statement) Check the appropriate box to designate the rule pursu
January 9, 2017	EX-99.1	COMPANY OVERVIEW January 2017 Exhibit 99.1 COMPANY OVERVIEW January 2017 2 Forward-Looking Statements This presentation contains forward-looking statements, including statements about: the timing, progress and results of preclinical studies and clinical trials for AVXS-101, including statements regarding the timing of initiation and completion of studies or trials and related preparatory work, the period during which the resul
January 9, 2017	8-K	AveXis 8-K (Current Report/Significant Event) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 9, 2017 AVEXIS, INC. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-37693 90-1038273 (Commission File No.)
December 23, 2016	EX-99.1	JOINT FILING AGREEMENT Exhibit 1 JOINT FILING AGREEMENT This Joint Filing Agreement, dated as of December 23, 2016, is by and among RA Capital Management, LLC, Peter Kolchinsky, and RA Capital Healthcare Fund, L.
December 23, 2016	SC 13G	AveXis SC 13G (Passive Acquisition of More Than 5% of Shares) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* AveXis, Inc. (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 05366U100 (CUSIP Number) December 14, 2016 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursu
December 21, 2016	EX-99.1	AveXis to Use Intended Commercial GMP Product in SMA Type 2 Study SMA Type 2 study to initiate in Q2 2017 Streamlines development of Type 2 clinical data set Conference call and webcast December 21, at 4:30 p.m. EST Exhibit 99.1 Media Inquiries: Lauren Barbiero W2O Group 646-564-2156 [email protected] Investor Inquiries: Jim Goff AveXis, Inc. 650-862-4134 [email protected] AveXis to Use Intended Commercial GMP Product in SMA Type 2 Study SMA Type 2 study to initiate in Q2 2017 Streamlines development of Type 2 clinical data set Conference call and webcast December 21, at 4:30 p.m. EST Chicago,
December 21, 2016	8-K	AveXis 8-K (Current Report/Significant Event) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 21, 2016 AVEXIS, INC. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-37693 90-1038273 (Commission File No.
November 10, 2016	10-Q	AveXis 10-Q (Quarterly Report) Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2016 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file numbe
November 10, 2016	EX-99.1	AveXis Reports Third Quarter 2016 Financial and Operating Results — AVXS-101 demonstrated continued motor function improvement in ongoing study; majority of patients on proposed therapeutic dose achieved key developmental milestones — — Confirmed sin EX-99.1 2 a16-214481ex99d1.htm EX-99.1 Exhibit 99.1 Media Inquiries: Lauren Barbiero W2O Group 646-564-2156 [email protected] Investor Inquiries: Jim Goff AveXis, Inc. 650-862-4134 [email protected] AveXis Reports Third Quarter 2016 Financial and Operating Results — AVXS-101 demonstrated continued motor function improvement in ongoing study; majority of patients on proposed therapeutic dose ac
November 10, 2016	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 10, 2016 AVEXIS, INC. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-37693 90-1038273 (Commission File No.
November 1, 2016	8-K	Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 1, 2016 AVEXIS, INC. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-37693 90-1038273 (Commission File No.)
November 1, 2016	EX-99.1	AveXis Announces Single-Arm Design for U.S. Pivotal Study of AVXS-101 in SMA Type 1 Patients — Company provides update following receipt of FDA minutes from Type B meeting — — Conference call and webcast November 1 at 4:30 p.m. EDT — EX-99.1 2 a16-208841ex99d1.htm EX-99.1 Exhibit 99.1 Media Inquiries: Lauren Barbiero W2O Group 646-564-2156 [email protected] Investor Inquiries: Jim Goff AveXis, Inc. 650-862-4134 [email protected] AveXis Announces Single-Arm Design for U.S. Pivotal Study of AVXS-101 in SMA Type 1 Patients — Company provides update following receipt of FDA minutes from Type B meeting — — Conference call and w
October 11, 2016	8-K	Regulation FD Disclosure, Financial Statements and Exhibits, Other Events 8-K 1 a16-1975118k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 8, 2016 AVEXIS, INC. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-37693 90-103
October 11, 2016	EX-99.2	AveXis Reports Interim Data from Ongoing Phase 1 Clinical Trial of AVXS-101 in Spinal Muscular Atrophy Type 1 as Presented at the International Annual Congress of the World Muscle Society — Majority of patients on the proposed therapeutic dose achiev Exhibit 99.2 Media Inquiries: Lauren Barbiero W2O Group 646-564-2156 [email protected] Investor Inquiries: Jim Goff AveXis, Inc. 650-862-4134 [email protected] AveXis Reports Interim Data from Ongoing Phase 1 Clinical Trial of AVXS-101 in Spinal Muscular Atrophy Type 1 as Presented at the International Annual Congress of the World Muscle Society ? Majority of patients on the proposed therapeut
October 11, 2016	EX-99.1	AVXS-101 Clinical Update Including Motor Milestones as Presented at the World Muscle Society, October 8, 2016 October 10, 2016 Exhibit 99.1 AVXS-101 Clinical Update Including Motor Milestones as Presented at the World Muscle Society, October 8, 2016 October 10, 2016 2 Forward-Looking Statements This presentation contains forward-looking statements, including: statements about: the timing, progress and results of preclinical studies and clinical trials for AVXS-101, including statements regarding the timing of initiation a
September 12, 2016	424B4	4,250,000 Shares Common Stock Use these links to rapidly review the document TABLE OF CONTENTS Table of Contents Filed pursuant to Rule 424(b)(4) Registration No.
September 8, 2016	S-1MEF	AveXis S-1MEF As filed with the Securities and Exchange Commission on September 8, 2016 Registration No.
September 8, 2016	POS EX	AveXis POS EX As filed with the Securities and Exchange Commission on September 7, 2016 Registration No.
September 7, 2016	EX-99.1	RISK FACTORS EX-99.1 2 a16-179591ex99d1.htm EX-99.1 Exhibit 99.1 RISK FACTORS Investing in our common stock involves a high degree of risk. Before deciding whether to invest in shares of our common stock, you should carefully consider the risks described below, and all other information contained in or incorporated by reference in our other filings with the United States Securities and Exchange Commission, or
September 7, 2016	8-K	Financial Statements and Exhibits, Other Events 8-K 1 a16-1795918k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 6, 2016 AVEXIS, INC. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-37693 90-1
September 6, 2016	EX-1.1	AveXis, Inc. Common Stock Underwriting Agreement Exhibit 1.1 AveXis, Inc. Common Stock Underwriting Agreement September [ ], 2016 Goldman, Sachs & Co., Jefferies LLC As representatives of the several Underwriters named in Schedule I hereto, c/o Goldman, Sachs & Co., 200 West Street, New York, New York 10282 c/o Jefferies LLC 520 Madison Avenue New York, NY 10022 Ladies and Gentlemen: AveXis, Inc., a Delaware corporation (the ?Company?), proposes
September 6, 2016	S-1/A	AveXis S-1/A Use these links to rapidly review the document TABLE OF CONTENTS Table of Contents As filed with the Securities and Exchange Commission on September 6, 2016 Registration No.
September 6, 2016	CORRESP	AveXis ESP September 6, 2016 Via EDGAR Submission Securities and Exchange Commission Division of Corporation Finance 100 F Street N.
September 2, 2016	CORRESP	AveXis ESP CORRESP 1 filename1.htm 2275 Half Day Road, Suite 160 Bannockburn, Illinois 60015 VIA EDGAR September 2, 2016 U.S. Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Attn: Ms. Tara Keating Brooks Re: AveXis, Inc. Registration Statement on Form S-1 Filed August 24, 2016 File No. 333-213292 Acceleration Request Requested Date: September 7, 20
August 24, 2016	EX-10.11.1	First Amendment to Office Lease dated July 15, 2016 between the Registrant and Wanxiang Bannockburn, L.L.C. (incorporated by reference to Exhibit 10.1.1 to the Registration Statement on Form S-1 filed on August 24, 2016). Exhibit 10.11.1 FIRST AMENDMENT TO OFFICE LEASE THIS FIRST AMENDMENT TO OFFICE LEASE (this Amendment) is entered into this 15 day of July, 2016 (Effective Date) by and between AveXis, INC., a Delaware corporation (Tenant) and WANXIANG BANNOCKBURN, L.L.C., an Illinois limited liability company (Landlord). RECITALS A. Landlord and Tenant entered into that certain Office Lease dated as of Jul
August 24, 2016	S-1	AveXis S-1 S-1 1 a2229537zs-1.htm S-1 Use these links to rapidly review the document TABLE OF CONTENTS Table of Contents As filed with the Securities and Exchange Commission on August 24, 2016 Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 AveXis, Inc. (Exact name of registrant as specified in its
August 24, 2016	EX-10.11.1	First Amendment to Office Lease dated July 15, 2016 between the Registrant and Wanxiang Bannockburn, L.L.C. (incorporated by reference to Exhibit 10.1.1 to the Registration Statement on Form S-1 filed on August 24, 2016). Exhibit 10.11.1 FIRST AMENDMENT TO OFFICE LEASE THIS FIRST AMENDMENT TO OFFICE LEASE (this Amendment) is entered into this 15 day of July, 2016 (Effective Date) by and between AveXis, INC., a Delaware corporation (Tenant) and WANXIANG BANNOCKBURN, L.L.C., an Illinois limited liability company (Landlord). RECITALS A. Landlord and Tenant entered into that certain Office Lease dated as of Jul
August 24, 2016	S-1	AveXis S-1 S-1 1 a2229537zs-1.htm S-1 Use these links to rapidly review the document TABLE OF CONTENTS Table of Contents As filed with the Securities and Exchange Commission on August 24, 2016 Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 AveXis, Inc. (Exact name of registrant as specified in its
August 12, 2016	10-Q	AveXis 10-Q (Quarterly Report) Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2016 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 00
August 11, 2016	8-K	AveXis 8-K (Current Report/Significant Event) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 11, 2016 AVEXIS, INC. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-37693 90-1038273 (Commission File No.)
August 11, 2016	EX-99.2	AVXS-101 Clinical Data Update August 11, 2016 Exhibit 99.2 AVXS-101 Clinical Data Update August 11, 2016 2 Forward-Looking Statements This presentation contains forward-looking statements, including: statements about: the timing, progress and results of preclinical studies and clinical trials for AVXS-101, including statements regarding the timing of initiation and completion of studies or trials and related preparatory work, the period durin
August 11, 2016	EX-99.1	AveXis Reports Second Quarter 2016 Financial and Operating Results and Interim Data from Ongoing Phase 1 Trial of AVXS-101 in Spinal Muscular Atrophy Type 1 Interim data through July 1 showed no events Continued motor function improvement wit Exhibit 99.1 Media Inquiries: Lauren Barbiero W2O Group 646-564-2156 [email protected] Investor Inquiries: Jim Goff AveXis, Inc. 650-862-4134 [email protected] AveXis Reports Second Quarter 2016 Financial and Operating Results and Interim Data from Ongoing Phase 1 Trial of AVXS-101 in Spinal Muscular Atrophy Type 1 ? Interim data through July 1 showed no ?events? ? ? Continued motor function i
July 20, 2016	8-K	Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 20, 2016 AVEXIS, INC. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-37693 90-1038273 (Commission File No.) (I
July 20, 2016	EX-99.1	AveXis Receives U.S. FDA Breakthrough Therapy Designation for AVXS-101 Gene Replacement Therapy for Spinal Muscular Atrophy Type 1 Exhibit 99.1 Media Inquiries: Lauren Barbiero W2O Group 646-564-2156 [email protected] Investor Inquiries: Jim Goff AveXis, Inc. 650-862-4134 [email protected] AveXis Receives U.S. FDA Breakthrough Therapy Designation for AVXS-101 Gene Replacement Therapy for Spinal Muscular Atrophy Type 1 Chicago, Ill., July 20, 2016 ? AveXis, Inc., a clinical-stage gene therapy company developing treatments
June 24, 2016	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers 8-K 1 a16-1396418k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 20, 2016 AVEXIS, INC. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-37693 90-10382
May 13, 2016	10-Q	AVXS / AveXis, Inc. 10-Q - Quarterly Report - 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2016 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 0
May 12, 2016	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 12, 2016 AVEXIS, INC. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-37693 90-1038273 (Commission File No.) (IR
May 12, 2016	EX-99.1	AveXis Reports First Quarter 2016 Financial and Operating Results — Encouraging interim data for lead clinical program, AVXS-101, for Spinal Muscular Atrophy Type 1 — — Conference call May 12 at 4:30 p.m. EDT — EX-99.1 2 a16-111871ex99d1.htm EX-99.1 Exhibit 99.1 Media Inquiries: Lauren Barbiero W2O Group 646-564-2156 [email protected] Investor Inquiries: Jim Goff AveXis, Inc. 650-862-4134 [email protected] AveXis Reports First Quarter 2016 Financial and Operating Results — Encouraging interim data for lead clinical program, AVXS-101, for Spinal Muscular Atrophy Type 1 — — Conference call May 12 at 4:
May 6, 2016	8-K	AveXis 8-K (Current Report/Significant Event) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 6, 2016 AVEXIS, INC. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-37693 90-1038273 (Commission File No.) (IRS
May 6, 2016	EX-99.1	AVXS-101 Phase 1 Gene Therapy Clinical Trial In Spinal Muscular Atrophy Type 1 Jerry R Mendell, MD Center for Gene Therapy Research Institute Nationwide Children’s Hospital Exhibit 99.1 AVXS-101 Phase 1 Gene Therapy Clinical Trial In Spinal Muscular Atrophy Type 1 Jerry R Mendell, MD Center for Gene Therapy Research Institute Nationwide Childrens Hospital Disclosures: Jerry R Mendell, MD I have never had any investment in any product that I have tested in Clinical Trial I serve as a consultant to AveXis, Inc. who is sponsoring this SMA gene therapy trial I also serv
May 6, 2016	EX-99.2	AveXis Reports Data from Ongoing Phase 1 Trial of AVXS-101 in Spinal Muscular Atrophy Type 1 — Jerry Mendell, MD, Presented Data as of April 1, 2016 at the American Society of Gene & Cell Therapy 19th Annual Meeting — — Company to Host Webcast Today Exhibit 99.2 Media Inquiries: Lauren Barbiero W2O Group 646-564-2156 [email protected] Investor Inquiries: Jim Goff AveXis, Inc. 650-862-4134 [email protected] AveXis Reports Data from Ongoing Phase 1 Trial of AVXS-101 in Spinal Muscular Atrophy Type 1 ? Jerry Mendell, MD, Presented Data as of April 1, 2016 at the American Society of Gene & Cell Therapy 19th Annual Meeting ? ? Company to Host
April 5, 2016	EX-4.7	AVEXIS, INC. 2016 EQUITY INCENTIVE PLAN ADOPTED BY THE BOARD OF DIRECTORS: JANUARY 29, 2016 APPROVED BY THE STOCKHOLDERS: FEBRUARY 9, 2016 IPO DATE: FEBRUARY 10, 2016 Exhibit 4.7 AVEXIS, INC. 2016 EQUITY INCENTIVE PLAN ADOPTED BY THE BOARD OF DIRECTORS: JANUARY 29, 2016 APPROVED BY THE STOCKHOLDERS: FEBRUARY 9, 2016 IPO DATE: FEBRUARY 10, 2016 1. GENERAL. (a) Successor to and Continuation of Prior Plan. The Plan is intended as the successor to and continuation of the AveXis, Inc. Amended and Restated 2014 Stock Plan (the ?Prior Plan?). From and after 12:01 a.m.
April 5, 2016	S-8	AveXis S-8 As filed with the Securities and Exchange Commission on April 5, 2016 Registration No.
March 18, 2016	10-K	AVXS / AveXis, Inc. 10-K - Annual Report - 10-K Use these links to rapidly review the document TABLE OF CONTENTS Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.
March 18, 2016	EX-21.1	Subsidiaries of Registrant Exhibit 21.1 Subsidiaries of Registrant Name of Subsidiary Jurisdiction of Incorporation AveXis EU Limited Ireland
March 16, 2016	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K 1 a16-670418k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 16, 2016 AVEXIS, INC. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-37693 90-10382
March 16, 2016	EX-99.1	AveXis Reports Fourth Quarter and Full Year 2015 Financial and Operating Results — Initial public offering raised $98.2 million in net proceeds — — Encouraging interim data for lead clinical program, AVXS-101, for Spinal Muscular Atrophy Type 1 — — C Exhibit 99.1 Media Inquiries: Lauren Barbiero W2O Group 646-564-2156 [email protected] Investor Inquiries: Jim Goff AveXis, Inc. 650-862-4134 [email protected] AveXis Reports Fourth Quarter and Full Year 2015 Financial and Operating Results ? Initial public offering raised $98.2 million in net proceeds ? ? Encouraging interim data for lead clinical program, AVXS-101, for Spinal Muscular Atroph
February 19, 2016	EX-99	Joint Filer Information Joint Filer Information Names: Deerfield International Master Fund, L.P. Address: 780 Third Avenue, 37th Floor New York, NY 10017 Designated Filer: Deerfield Partners, L.P. Issuer and Ticker Symbol: AveXis, Inc. [AVXS] Date of Event Requiring Statement: February 17, 2016 The undersigned, Deerfield International Master Fund, L.P. is jointly filing the attached Initial Statement of Beneficial Owners
February 19, 2016	SC 13D	AVXS / AveXis, Inc. / Flynn James E Activist Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D [Rule 13d-101] INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 24.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13D-2(a) (Amendment No. )* AveXis, Inc. (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 05366U100 (CUSIP Number) David Clark Deerfield Mgmt, L.P. 780 Th
February 19, 2016	EX-99.1	DEERFIELD MGMT, L.P. By: J.E. Flynn Capital, LLC, General Partner By: /s/ Jonathan Isler Name: Jonathan Isler Title: Attorney-in-Fact DEERFIELD MGMT III, L.P. By: J.E. Flynn Capital III, LLC, General Partner By: /s/ Jonathan Isler Name: Jonathan Isle EX-99.1 2 e614683ex99-1.htm Exhibit 99.1 The undersigned agree that this Schedule 13D, and all amendments thereto, relating to the Common Stock of AveXis, Inc. shall be filed on behalf of the undersigned. DEERFIELD MGMT, L.P. By: J.E. Flynn Capital, LLC, General Partner By: /s/ Jonathan Isler Name: Jonathan Isler Title: Attorney-in-Fact DEERFIELD MGMT III, L.P. By: J.E. Flynn Capital III, LLC, Gen
February 17, 2016	EX-3.2	Amended and Restated Bylaws of the Registrant (incorporated by reference to Exhibit 3.2 to the Current Report on Form 8-K filed on February 17, 2016). Exhibit 3.2 AMENDED AND RESTATED BYLAWS OF AVEXIS, INC. (A DELAWARE CORPORATION) FEBRUARY 17, 2016 AVEXIS, INC. AMENDED AND RESTATED BYLAWS ARTICLE I OFFICES Section 1. Registered Office. The registered office shall be established and maintained at the office of United Corporate Services, Inc., in the City of Dover, in the County of Kent, in the State of Delaware, and said corporation, or other su
February 17, 2016	EX-3.1	Fifth Amended and Restated Certificate of Incorporation of the Registrant (incorporated by reference to Exhibit 3.1 to the Current Report on Form 8-K filed on February 17, 2016). EX-3.1 2 a16-47731ex3d1.htm EX-3.1 Exhibit 3.1 AVEXIS, INC. FIFTH AMENDED AND RESTATED CERTIFICATE OF INCORPORATION AVEXIS, INC., a corporation organized and existing under the laws of the State of Delaware (the “Company”), does hereby certify as follows: FIRST: The name of the Company is AveXis, Inc. SECOND: The Company’s initial Certificate of Incorporation was filed on January 10, 2012. The Cer
February 17, 2016	8-K	AveXis 8-K (Current Report/Significant Event) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 17, 2016 AVEXIS, INC. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-37693 90-1038273 (Commission File No.
February 11, 2016	POS EX	AveXis POS EX As filed with the Securities and Exchange Commission on February 10, 2016 Registration No.
February 11, 2016	424B4	4,750,000 Shares Common Stock Use these links to rapidly review the document TABLE OF CONTENTS Index to Consolidated Financial Statements Table of Contents Filed Pursuant to Rule 424(b)(4) Registration Statement No.
February 10, 2016	EX-99	Joint Filer Information Unassociated Document Joint Filer Information Names: Deerfield Mgmt III, L.P., Deerfield Mgmt, L.P., Deerfield Management Company, L.P., Deerfield Private Design Fund III, L.P., Deerfield Special Situations Fund, L.P. Address: 780 Third Avenue, 37th Floor New York, NY 10017 Designated Filer: James E. Flynn Issuer and Ticker Symbol: AveXis, Inc. [AVXS] Date of Event Requiring Statement: February 10
February 9, 2016	CORRESP	AveXis ESP DIVAKAR GUPTA +1 212 479 6474 [email protected] VIA EDGAR February 9, 2016 U.S. Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Attn: Ms. Suzanne Hayes Ms. Tara Keating Brooks Ms. Amy Reischauer Mr. Jacob Luxenburg Mr. James Rosenberg Re: AveXis, Inc. Registration Statement on Form S-1 Filed February 1, 2016 File No. 333-209019 Ladies an
February 9, 2016	S-1/A	AveXis S-1/A Use these links to rapidly review the document TABLE OF CONTENTS Index to Consolidated Financial Statements Table of Contents As filed with the Securities and Exchange Commission on February 9, 2016 Registration No.
February 8, 2016	8-A12B	AveXis 8-A12B SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(B) OR (G) OF THE SECURITIES EXCHANGE ACT OF 1934 AveXis, Inc.
February 8, 2016	CORRESP	AveXis ESP 2275 Half Day Road, Suite 160 VIA EDGAR Bannockburn, Illinois 60015 February 8, 2016 U.
February 8, 2016	CORRESP	AveXis ESP Goldman, Sachs & Co. 200 West Street New York, NY 10282 Jefferies LLC 520 Madison Avenue New York, NY 10022 February 8, 2016 VIA EDGAR Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Attention: Tara Keating Brooks Re: AVEXIS, INC. Registration Statement on Form S-1 (File No. 333-209019) Ladies and Gentlemen: Pursuant to Rule 461 under th
February 1, 2016	S-1/A	AveXis S-1/A Use these links to rapidly review the document TABLE OF CONTENTS Index to Consolidated Financial Statements Table of Contents As filed with the Securities and Exchange Commission on February 1, 2016 Registration No.
February 1, 2016	CORRESP	AveXis ESP FOIA Confidential Treatment Request Confidential Treatment Requested by AveXis Inc.
February 1, 2016	CORRESP	AveXis ESP DIVAKAR GUPTA +1 212 479 6474 [email protected] VIA EDGAR February 1, 2016 U.S. Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Attn: Ms. Suzanne Hayes Ms. Tara Keating Brooks Ms. Amy Reischauer Mr. Jacob Luxenburg Mr. James Rosenberg Re: AveXis, Inc. Registration Statement on Form S-1 Filed January 15, 2016 File No. 333-209019 Ladies an
January 15, 2016	S-1	AveXis S-1 S-1 1 a2227081zs-1.htm S-1 Use these links to rapidly review the document TABLE OF CONTENTS Index to Consolidated Financial Statements Table of Contents As filed with the Securities and Exchange Commission on January 15, 2016 Registration No. UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 AveXis, Inc. (Exact
December 17, 2015	DRSLTR	AveXis TR DIVAKAR GUPTA +1 212 479 6474 [email protected] VIA EDGAR December 17, 2015 U.S. Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Attn: Ms. Suzanne Hayes Ms. Tara Keating Brooks Ms. Amy Reischauer Mr. Jacob Luxenburg Mr. James Rosenberg Re: AveXis, Inc. Amendment No. 1 to Confidential Draft Registration Statement on Form S-1 Submitted Nov
December 17, 2015	DRS/A	AveXis A Use these links to rapidly review the document TABLE OF CONTENTS Index to Consolidated Financial Statements Table of Contents Confidential draft as submitted to the Securities and Exchange Commission confidentially on December 17, 2015 As filed with the Securities and Exchange Commission on , Registration No.
November 25, 2015	DRSLTR	AveXis TR Divakar Gupta +1 212 479 6474 [email protected] VIA EDGAR November 25, 2015 U.S. Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, DC 20549 Attn: Ms. Suzanne Hayes Ms. Tara Keating Brooks Ms. Amy Reischauer Mr. Jacob Luxenburg Mr. James Rosenberg Re: AveXis, Inc. Confidential Draft Registration Statement on Form S-1 Submitted October 16, 2015 CIK No.
November 25, 2015	DRS/A	AveXis A Use these links to rapidly review the document TABLE OF CONTENTS Index to Consolidated Financial Statements Table of Contents Confidential draft as submitted to the Securities and Exchange Commission confidentially on November 25, 2015 As filed with the Securities and Exchange Commission on , Registration No.
October 16, 2015	DRS	AveXis Table of Contents As submitted to the Securities and Exchange Commission confidentially on October 16, 2015 As filed with the Securities and Exchange Commission on , Registration No.

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