0001209191-20-025154.txt : 20200420 0001209191-20-025154.hdr.sgml : 20200420 20200420175037 ACCESSION NUMBER: 0001209191-20-025154 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200416 FILED AS OF DATE: 20200420 DATE AS OF CHANGE: 20200420 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Whitcup Scott M CENTRAL INDEX KEY: 0001298941 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36579 FILM NUMBER: 20803560 MAIL ADDRESS: STREET 1: 2525 DUPONT DRIVE CITY: IRVINE STATE: CA ZIP: 92612 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Adverum 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: 800 SAGINAW DRIVE CITY: REDWOOD CITY STATE: CA ZIP: 94063 BUSINESS PHONE: 650-272-6269 MAIL ADDRESS: STREET 1: 800 SAGINAW DRIVE CITY: REDWOOD CITY STATE: CA ZIP: 94063 FORMER COMPANY: FORMER CONFORMED NAME: Avalanche Biotechnologies, Inc. DATE OF NAME CHANGE: 20100921 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2020-04-16 0 0001501756 Adverum Biotechnologies, Inc. ADVM 0001298941 Whitcup Scott M C/O ADVERUM BIOTECHNOLOGIES, INC. 800 SAGINAW DRIVE REDWOOD CITY CA 94063 1 0 0 0 Stock Option (Right to Buy) 11.62 2020-04-16 4 A 0 60000 0.00 A 2030-04-15 Common Stock 60000 60000 D 1/3 of the total number of shares subject to the option vest and become exercisable on each anniversary of April 16, 2020 (the "Vesting Commencement Date"), such that all of the shares subject to the option shall become vested and exercisable as of the third anniversary of the Vesting Commencement Date, subject to the Reporting Person's continued service with the Issuer on each such vesting date. Scott M. Whitcup, by /s/ Peter Soparkar, Attorney-in-Fact 2020-04-20