Form Type: 4

SEC EDGAR Link
Accession Number:0001209191-15-046179
Date:2015-05-21
Issuer: AVALANCHE BIOTECHNOLOGIES, INC. (AAVL)
Original Submission Date:

Reporting Person:

GASMI MEHDI
C/O AVALANCHE BIOTECHNOLOGIES, INC.
1035 O'BRIEN DRIVE, SUITE A MENLO PARK, CA 94025

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK 2015-05-21 M 500 a $2.75 7,500 direct
COMMON STOCK 2015-05-21 S 500 d $38.87 7,000 direct
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
STOCK OPTION (RIGHT TO BUY) 2.75 2015-05-21 deemed execution date M 500 (d) 2024-03-04 common stock 500 $2.75 96,500 direct
Footnotes
IDfootnote
f1 transaction made pursuant to a 10b5-1 trading plan adopted by the reporting person.
f2 this transaction was executed in multiple trades in prices ranging from $38.60 to $39.07, inclusive. the price reported in column 4 above reflects the weighted average sales price. the reporting person hereby undertakes to provide to the securities and exchange commission staff, the issuer, or a security holder of the issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote.
f3 twenty-five percent (25%) of the shares subject to the option vested and became exercisable on the first anniversary measured from march 5, 2014, and the remaining shares subject to the option vest and become exercisable in 36 successive, equal monthly installments thereafter, subject to the reporting person's continued employment or service relationship with the issuer on each such vesting date.
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