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Share Name | Share Symbol | Market | Type |
---|---|---|---|
Axovant Gene Therapies Ltd | NASDAQ:AXGT | NASDAQ | Common Stock |
Price Change | % Change | Share Price | Bid Price | Offer Price | High Price | Low Price | Open Price | Shares Traded | Last Trade | |
---|---|---|---|---|---|---|---|---|---|---|
0.00 | 0.00% | 2.10 | 2.09 | 2.11 | 0 | 01:00:00 |
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
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OMB APPROVAL
OMB Number: 3235-0287 Estimated average burden hours per response... 0.5 |
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1. Name and Address of Reporting Person
*
VIKING GLOBAL PERFORMANCE LLC |
2. Issuer Name
and
Ticker or Trading Symbol
Axovant Sciences Ltd. [ AXON ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director __ X __ 10% Owner _____ Officer (give title below) _____ Other (specify below) |
55 RAILROAD AVENUE, |
3. Date of Earliest Transaction
(MM/DD/YYYY)
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GREENWICH, CT 06830 |
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
___ Form filed by One Reporting Person _ X _ Form filed by More than One Reporting Person |
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned |
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1.Title of Security
(Instr. 3) |
2. Trans. Date | 2A. Deemed Execution Date, if any |
3. Trans. Code
(Instr. 8) |
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4) |
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Shares, par value $0.00001 per share | 3/18/2019 | P (1) | 6666667 | A | $1.50 | 105952381 | I | See Footnotes (2) (3) (4) (5) |
Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities) |
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1. Title of Derivate Security
(Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any |
4. Trans. Code
(Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) |
6. Date Exercisable and Expiration Date |
7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4) |
8. Price of Derivative Security
(Instr. 5) |
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Remarks:
(6) The Reporting Persons are jointly filing this Form 4 pursuant to Rule 16a-3(j) under the Exchange Act. (7) Each of O. Andreas Halvorsen, David C. Ott and Rose S. Shabet is signing individually and as an Executive Committee Member of VIKING GLOBAL PERFORMANCE LLC, on behalf of itself and VIKING GLOBAL EQUITIES LP, VIKING GLOBAL EQUITIES II LP, VGE III PORTFOLIO LTD. and VIKING GLOBAL EQUITIES MASTER LTD., and as an Executive Committee Member of VIKING LONG FUND GP LLC, on behalf of itself and VIKING LONG FUND MASTER LTD. (8) Because no more than 10 reporting persons can file any one Form 4 through the Securities and Exchange Commission's EDGAR system, VGI, Opportunities Fund, Opportunities Portfolio GP and Opportunities GP have jointly filed with the Reporting Persons on a separate Form 4 filing submitted on the same day hereof |
Reporting Owners
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Reporting Owner Name / Address |
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Director | 10% Owner | Officer | Other | ||
VIKING GLOBAL PERFORMANCE LLC
55 RAILROAD AVENUE GREENWICH, CT 06830 |
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X |
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Viking Global Equities LP
55 RAILROAD AVENUE GREENWICH, CT 06830 |
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X |
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Viking Global Equities II LP
55 RAILROAD AVENUE GREENWICH, CT 06830 |
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X |
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VGE III Portfolio Ltd.
55 RAILROAD AVENUE GREENWICH, CT 06830 |
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X |
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Viking Global Equities Master Ltd.
55 RAILROAD AVENUE GREENWICH, CT 06830 |
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X |
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Viking Long Fund Master Ltd.
55 RAILROAD AVENUE GREENWICH, CT 06830 |
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X |
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Viking Long Fund GP LLC
55 RAILROAD AVENUE GREENWICH, CT 06830 |
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X |
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HALVORSEN OLE ANDREAS
C/O VIKING GLOBAL INVESTORS LP 280 PARK AVE 35TH NEW YORK, NY 10017 |
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X |
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Ott David C.
C/O VIKING GLOBAL INVESTORS LP 280 PARK AVENUE NEW YORK, NY 10017 |
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X |
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Shabet Rose Sharon
C/O VIKING GLOBAL INVESTORS LP 280 PARK AVENUE NEW YORK, NY 10017 |
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X |
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Signatures
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/s/ O. Andreas Halvorsen (6)(7) | 3/19/2019 | |
** Signature of Reporting Person |
Date
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/s/ David C. Ott (6)(7) | 3/19/2019 | |
** Signature of Reporting Person |
Date
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/s/ Rose Shabet (6)(7) | 3/19/2019 | |
** Signature of Reporting Person |
Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
Note: | File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. |
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
1 Year Axovant Gene Therapies Chart |
1 Month Axovant Gene Therapies Chart |
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