0001193805-14-001617.txt : 20140805 0001193805-14-001617.hdr.sgml : 20140805 20140805172604 ACCESSION NUMBER: 0001193805-14-001617 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20140805 FILED AS OF DATE: 20140805 DATE AS OF CHANGE: 20140805 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Avalanche Biotechnologies, Inc. CENTRAL INDEX KEY: 0001501756 STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836] IRS NUMBER: 205258327 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1035 O?BRIEN DRIVE, SUITE A CITY: MENLO PARK STATE: CA ZIP: 94025 BUSINESS PHONE: 650-272-6269 MAIL ADDRESS: STREET 1: 1035 O?BRIEN DRIVE, SUITE A CITY: MENLO PARK STATE: CA ZIP: 94025 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: DEERFIELD PARTNERS, LP CENTRAL INDEX KEY: 0001301041 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36579 FILM NUMBER: 141017180 BUSINESS ADDRESS: STREET 1: 780 THIRD AVENUE STREET 2: 37TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: 212-551-1600 MAIL ADDRESS: STREET 1: 780 THIRD AVENUE STREET 2: 37TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10017 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Deerfield Mgmt III, L.P. CENTRAL INDEX KEY: 0001610540 STATE OF INCORPORATION: DE FISCAL YEAR END: 1214 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36579 FILM NUMBER: 141017183 BUSINESS ADDRESS: STREET 1: 780 THIRD AVENUE, 37TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: 212-551-1600 MAIL ADDRESS: STREET 1: 780 THIRD AVENUE, 37TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10017 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Deerfield Special Situations International Master Fund, L.P. CENTRAL INDEX KEY: 0001565099 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36579 FILM NUMBER: 141017184 BUSINESS ADDRESS: STREET 1: 780 THIRD AVENUE, 37TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: 212-692-7108 MAIL ADDRESS: STREET 1: 780 THIRD AVENUE, 37TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10017 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Deerfield Special Situations Fund, L.P. CENTRAL INDEX KEY: 0001354395 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36579 FILM NUMBER: 141017185 BUSINESS ADDRESS: STREET 1: 780 3RD AVENUE STREET 2: 37TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: 212-551-1600 MAIL ADDRESS: STREET 1: 780 3RD AVENUE STREET 2: 37TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10017 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Flynn James E CENTRAL INDEX KEY: 0001352546 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36579 FILM NUMBER: 141017187 MAIL ADDRESS: STREET 1: 780 THIRD AVENUE STREET 2: 37TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10017 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Deerfield Mgmt L.P. CENTRAL INDEX KEY: 0001010823 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36579 FILM NUMBER: 141017186 BUSINESS ADDRESS: STREET 1: 780 THIRD AVENUE STREET 2: 37TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: 2125511600 MAIL ADDRESS: STREET 1: 780 THIRD AVENUE STREET 2: 37TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10017 FORMER NAME: FORMER CONFORMED NAME: DEERFIELD CAPITAL LP DATE OF NAME CHANGE: 20050930 FORMER NAME: FORMER CONFORMED NAME: DEERFIELD CAPITAL LP ET AL DATE OF NAME CHANGE: 19960318 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: DEERFIELD MANAGEMENT CO CENTRAL INDEX KEY: 0001009258 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36579 FILM NUMBER: 141017182 BUSINESS ADDRESS: STREET 1: 780 THIRD AVENUE STREET 2: 37TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: 2125511600 MAIL ADDRESS: STREET 1: 780 THIRD AVENUE, 37TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10017 FORMER NAME: FORMER CONFORMED NAME: DEERFIELD MANAGEMENT CO /NY DATE OF NAME CHANGE: 19981022 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Deerfield International Master Fund, L.P. CENTRAL INDEX KEY: 0001565089 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36579 FILM NUMBER: 141017179 BUSINESS ADDRESS: STREET 1: 780 THIRD AVENUE, 37TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: 212-692-7108 MAIL ADDRESS: STREET 1: 780 THIRD AVENUE, 37TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10017 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Deerfield Private Design Fund III, L.P. CENTRAL INDEX KEY: 0001603333 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36579 FILM NUMBER: 141017181 BUSINESS ADDRESS: STREET 1: 780 THIRD AVENUE, 37TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: 212-551-1600 MAIL ADDRESS: STREET 1: 780 THIRD AVENUE, 37TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10017 4 1 e612594_4-ab.xml X0306 4 2014-08-05 1 0001501756 Avalanche Biotechnologies, Inc. AAVL 0001352546 Flynn James E 780 THIRD AVENUE 37TH FLOOR NEW YORK NY 10017 0 0 1 1 Possible Members of 10% Group 0001010823 Deerfield Mgmt L.P. 780 THIRD AVENUE 37TH FLOOR NEW YORK NY 10017 0 0 1 1 Possible Members of 10% Group 0001354395 Deerfield Special Situations Fund, L.P. 780 3RD AVENUE 37TH FLOOR NEW YORK NY 10017 0 0 1 1 Possible Members of 10% Group 0001565099 Deerfield Special Situations International Master Fund, L.P. 780 THIRD AVENUE, 37TH FLOOR NEW YORK NY 10017 0 0 1 1 Possible Members of 10% Group 0001610540 Deerfield Mgmt III, L.P. 780 THIRD AVENUE, 37TH FLOOR NEW YORK NY 10017 0 0 1 1 Possible Members of 10% Group 0001009258 DEERFIELD MANAGEMENT CO 780 THIRD AVENUE, 37TH FLOOR NEW YORK NY 10017 0 0 1 1 Possible Members of 10% Group 0001603333 Deerfield Private Design Fund III, L.P. BISON COURT, P.O. BOX 3460 ROAD TOWN, TORTOLA D8 00000 VIRGIN ISLANDS, BRITISH 0 0 1 1 Possible Members of 10% Group 0001301041 DEERFIELD PARTNERS, LP 780 THIRD AVENUE 37TH FLOOR NEW YORK NY 10017 0 0 1 1 Possible Members of 10% Group 0001565089 Deerfield International Master Fund, L.P. 780 THIRD AVENUE, 37TH FLOOR NEW YORK NY 10017 0 0 1 1 Possible Members of 10% Group Common Stock 2014-08-05 4 C 0 184594 A 184594 I Through Deerfield Special Situations Fund, L.P. Common Stock 2014-08-05 4 C 0 147410 A 147410 I Through Deerfield Special Situations International Master Fund, L.P. Common Stock 2014-08-05 4 C 0 531208 A 531208 I Through Deerfield Private Design Fund III, L.P. Common Stock 2014-08-05 4 P 0 42700 17.00 A 227294 I Through Deerfield Special Situations Fund, L.P. Common Stock 2014-08-05 4 P 0 34223 17.00 A 181633 I Through Deerfield Special Situations International Master Fund, L.P. Common Stock 2014-08-05 4 P 0 123077 17.00 A 654285 I Through Deerfield Private Design Fund III, L.P. Common Stock 2014-08-05 4 P 0 44700 17.00 A 44700 I Through Deerfield Partners, L.P. Common Stock 2014-08-05 4 P 0 163300 25.41 A 208000 I Through Deerfield Partners, L.P. Common Stock 2014-08-05 4 P 0 7900 25.52 A 215900 I Through Deerfield Partners, L.P. Common Stock 2014-08-05 4 P 0 15100 25.79 A 231000 I Through Deerfield Partners, L.P. Common Stock 2014-08-05 4 P 0 177700 26.42 A 408700 I Through Deerfield Partners, L.P. Common Stock 2014-08-05 4 P 0 10100 27.54 A 418800 I Through Deerfield Partners, L.P. Common Stock 2014-08-05 4 P 0 22400 26.14 A 441200 I Through Deerfield Partners, L.P. Common Stock 2014-08-05 4 P 0 40400 26.35 A 481600 I Through Deerfield Partners, L.P. Common Stock 2014-08-05 4 P 0 25600 24.57 A 507200 I Through Deerfield Partners, L.P. Common Stock 2014-08-05 4 P 0 55300 17.00 A 55300 I Through Deerfield International Master Fund, L.P. Common Stock 2014-08-05 4 P 0 201972 25.41 A 257272 I Through Deerfield International Master Fund, L.P. Common Stock 2014-08-05 4 P 0 9800 25.52 A 267072 I Through Deerfield International Master Fund, L.P. Common Stock 2014-08-05 4 P 0 18700 25.79 A 285772 I Through Deerfield International Master Fund, L.P. Common Stock 2014-08-05 4 P 0 219864 26.42 A 505636 I Through Deerfield International Master Fund, L.P. Common Stock 2014-08-05 4 P 0 12400 27.54 A 518036 I Through Deerfield International Master Fund, L.P. Common Stock 2014-08-05 4 P 0 27600 26.14 A 545636 I Through Deerfield International Master Fund, L.P. Common Stock 2014-08-05 4 P 0 49981 26.35 A 595617 I Through Deerfield International Master Fund, L.P. Common Stock 2014-08-05 4 P 0 31650 24.57 A 627267 I Through Deerfield International Master Fund, L.P. Series B Preferred Stock 2014-08-05 4 C 0 184594 D Common Stock 184594 0 I Through Deerfield Special Situations Fund, L.P. Series B Preferred Stock 2014-08-05 4 C 0 147410 D Common Stock 147410 0 I Through Deerfield Special Situations International Master Fund, L.P. Series B Preferred Stock 2014-08-05 4 C 0 531208 D Common Stock 531208 0 I Through Deerfield Private Design Fund III, L.P. The Series B Preferred Stock was convertible at any time into the Issuer's Common Stock, on a one-for-one basis and had no expiration date. The Series B Preferred Stock converted into shares of the Issuer's Common Stock upon the closing of the Issuer's initial public offering of Common Stock. This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt III, L.P. is the general partner of Deerfield Private Design Fund III, L.P. ("Fund III"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P., Deerfield Special Situations International Master Fund, L.P., Deerfield Partners, L.P. and Deerfield International Master Fund, L.P. (collectively with Fund III, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt III, L.P., Deerfield Mgmt, L.P. and Deerfield Management Company, L.P. In accordance with Instruction 5 (b)(iv) to Form 3, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. Jonathan Isler, Attorney-in-Fact: Power of Attorney, which is hereby incorporated by reference to Exhibit 24 to a Form 3 with regard to Avalanche Biotechnologies, Inc. filed with the Securities and Exchange Commission on July 30, 2014 by Deerfield Mgmt III, L.P., Deerfield Mgmt, L.P., Deerfield Management Company, L.P., Deerfield Special Situations Fund, L.P., Deerfield Special Situations International Master Fund, L.P., Deerfield Private Design Fund III, L.P. and James E. Flynn /s/ Jonathan Isler, Attorney-In-Fact 2014-08-05 EX-99 2 e612594_ex99.htm Unassociated Document
Joint Filer Information

Names: 
Deerfield Mgmt, L.P., Deerfield Mgmt III, L.P.,  Deerfield Management Company, L.P., Deerfield Special Situations Fund, L.P., Deerfield Special Situations International Master Fund, L.P., Deerfield Private Design Fund III, L.P., Deerfield Partners, L.P. and Deerfield International Master Fund, L.P.
 
Address: 
780 Third Avenue, 37th Floor
New York, NY  10017

Designated Filer:
James E. Flynn

Issuer and Ticker Symbol:
Avalanche Biotechnologies, Inc. [AAVL]

Date of Earliest Transaction Requiring Statement:
August 5, 2014
 
The undersigned, Deerfield Mgmt, L.P., Deerfield Mgmt III, L.P.,  Deerfield Management Company, L.P., Deerfield Special Situations Fund, L.P., Deerfield Special Situations International Master Fund, L.P., Deerfield Private Design Fund III, L.P., Deerfield Partners, L.P. and Deerfield International Master Fund, L.P. are jointly filing the attached Statement of Changes in Beneficial Ownership on Form 4 with James E. Flynn with respect to the beneficial ownership of securities of Avalanche Biotechnologies, Inc.

Signatures:

DEERFIELD MGMT, L.P.
By:  J.E. Flynn Capital, LLC, General Partner
 
By: /s/ Jonathan Isler
       Jonathan Isler, Attorney-In-Fact
 
DEERFIELD MGMT III, L.P.
By:  J.E. Flynn Capital III, LLC, General Partner
 
By: /s/ Jonathan Isler
       Jonathan Isler, Attorney-In-Fact
 
DEERFIELD MANAGEMENT COMPANY, L.P.
By:  Flynn Management LLC, General Partner
 
By: /s/ Jonathan Isler
       Jonathan Isler, Attorney-In-Fact
DEERFIELD PRIVATE DESIGN FUND III, L.P.
By:  Deerfield Mgmt III, L.P., General Partner
By:  J.E. Flynn Capital III, LLC, General Partner
 
By: /s/ Jonathan Isler
       Jonathan Isler, Attorney-In-Fact
 
DEERFIELD SPECIAL SITUATIONS FUND, L.P.
By:  Deerfield Mgmt, L.P., General Partner
By:  J.E. Flynn Capital, LLC, General Partner
 
By: /s/ Jonathan Isler
       Jonathan Isler, Attorney-In-Fact
 
DEERFIELD PARTNERS, L.P.
By:  Deerfield Mgmt, L.P., General Partner
By:  J.E. Flynn Capital, LLC, General Partner
 
By: /s/ Jonathan Isler
       Jonathan Isler, Attorney-In-Fact
 
DEERFIELD SPECIAL SITUATIONS INTERNATIONAL MASTER FUND, L.P.
By:  Deerfield Mgmt, L.P., General Partner
By:  J.E. Flynn Capital LLC, General Partner
 
By: /s/ Jonathan Isler
       Jonathan Isler, Attorney-In-Fact
DEERFIELD INTERNATIONAL MASTER FUND, L.P.
By:  Deerfield Mgmt, L.P., General Partner
By:  J.E. Flynn Capital LLC, General Partner
 
By: /s/ Jonathan Isler
       Jonathan Isler, Attorney-In-Fact