# EDGAR Filing Document

**Accession Number:** 0001701846
**File Stem:** 0001209191-23-017342
**Filing Date:** 2023-3
**Character Count:** 7279
**Document Hash:** 4c2a683044183cf9c8205328dd06c828
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001209191-23-017342.hdr.sgml**: 20230308

**ACCESSION NUMBER**: 0001209191-23-017342

**CONFORMED SUBMISSION TYPE**: 4

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20230306

**FILED AS OF DATE**: 20230308

**DATE AS OF CHANGE**: 20230308

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** Session R.A. II
- **CENTRAL INDEX KEY:** 0001701846

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-39536
- **FILM NUMBER:** 23717731

**MAIL ADDRESS:**
- **STREET 1:** C/O AVEXIS, INC.
- **STREET 2:** 2275 HALF DAY ROAD, SUITE 200
- **CITY:** BANNOCKBURN
- **STATE:** IL
- **ZIP:** 60015
**ISSUER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Taysha Gene Therapies, Inc.
- **CENTRAL INDEX KEY:** 0001806310
- **STANDARD INDUSTRIAL CLASSIFICATION:** BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836]
- **IRS NUMBER:** 843199512
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**BUSINESS ADDRESS:**
- **STREET 1:** 3000 PEGASUS PARK DRIVE
- **STREET 2:** SUITE 1430
- **CITY:** DALLAS
- **STATE:** TX
- **ZIP:** 75247
- **BUSINESS PHONE:** (214) 612-0000

**MAIL ADDRESS:**
- **STREET 1:** 3000 PEGASUS PARK DRIVE
- **STREET 2:** SUITE 1430
- **CITY:** DALLAS
- **STATE:** TX
- **ZIP:** 75247

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM 4

### STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

[ ] Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>Session R.A. II<br><sub>(Last) (First) (Middle)</sub><br>C/O TAYSHA GENE THERAPIES, INC.<br>3000 PEGASUS PARK DRIVE, SUITE 1430<br><sub>(Street)</sub><br>DALLAS, TX 75247<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2023-03-06 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[ ] Director [X] 10% Owner<br>[ ] Officer (give title below) [ ] Other (specify below)<br>_ _ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>Taysha Gene Therapies, Inc. [ TSHA ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[X] Form filed by One Reporting Person<br>[ ] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | 3. Transaction Code (V) | 3. Transaction Code (V) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | Code | V | Amount | (A) or (D) | Price | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| Common Stock | 2023-03-06 |  | J<sup>(1)</sup> |  | 251296<sup>(2)</sup> | A | $0.00 | 9420842<sup>(3)</sup> | D |  |
| Common Stock |  |  |  |  |  |  |  | 141090 | I | See footnote<sup>(4)</sup> |
| Common Stock |  |  |  |  |  |  |  | 141090 | I | See footnote<sup>(5)</sup> |

---

## Table II - Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | 4. Transaction Code (V) | 4. Transaction Code (V) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 6. Date Exercisable and Expiration Date | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Underlying Securities | 7. Title and Amount of Underlying Securities | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| Employee Stock Option (right to buy) | $1.95 | 2023-03-06 |  | D |  |  | 199500 | <sup>(6)</sup> | 2032-11-10 | Common Stock | 199500 | <sup>(7)</sup> | 0 | D |  |

---

### Footnotes:

(1) Represents Reporting Person's annual incentive compensation for 2021 performance awarded in the discretion of the compensation committee of the Issuer's board of directors (the "RSU Award"). The RSU Award replaced a prior stock option award of 199,500 shares of similar value that was canceled effective March 6, 2023.

(2) Each share is represented by an RSU. Each RSU represents a contingent right to receive one share of the Issuer's Common Stock upon settlement. The RSUs are fully vested.

(3) In connection with the Reporting Person's separation from the Issuer, the Reporting Person forfeited 21,374 unvested shares pursuant to a restricted stock award.

(4) The securities are held by RA Session II, as Trustee of the Session 2020 Annuity Trust I.

(5) The securities are held by RA Session II, as Trustee of the Session 2020 Annuity Trust II.

(6) Prior to the cancellation of this option, 25% of the total number of shares underlying the option were to vest and become exercisable on November 10, 2023 and the remainder were to vest and become exercisable in 36 equal monthly installments thereafter, subject to the Reporting Person's continuous service through each applicable vesting date.

(7) This option was canceled by mutual agreement of the Issuer and the Reporting Person. The Reporting Person received the RSU Award in exchange for the cancellation of this option.

**Signature:** /s/ Kamran Alam, Attorney-in-Fact  
**Date:** 2023-03-08

### Remarks:

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 Number.**