0001209191-21-032962.txt : 20210514 0001209191-21-032962.hdr.sgml : 20210514 20210514200456 ACCESSION NUMBER: 0001209191-21-032962 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210512 FILED AS OF DATE: 20210514 DATE AS OF CHANGE: 20210514 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: 21926990 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 2021-05-12 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) 3.70 2021-05-12 4 A 0 40000 0.00 A 2031-05-11 Common Stock 40000 40000 D The shares subject to the option will vest on the earlier of May 12, 2022 or the 2022 annual meeting of stockholders, subject to (1) accelerated vesting upon a change of control and (2) the Reporting Person's continued service with the Issuer on the vesting date. Scott M. Whitcup, by /s/ Ron A. Metzger, Attorney-in-Fact 2021-05-14