0001209191-20-027287.txt : 20200505
0001209191-20-027287.hdr.sgml : 20200505
20200505184419
ACCESSION NUMBER: 0001209191-20-027287
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20200504
FILED AS OF DATE: 20200505
DATE AS OF CHANGE: 20200505
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Scopa James Paul
CENTRAL INDEX KEY: 0001356950
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36579
FILM NUMBER: 20850570
MAIL ADDRESS:
STREET 1: 601 GATEWAY BOULEVARD
STREET 2: SUITE 350
CITY: SOUTH SAN FRANCISCO
STATE: CA
ZIP: 94080
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
2020-05-04
0
0001501756
Adverum Biotechnologies, Inc.
ADVM
0001356950
Scopa James Paul
C/O ADVERUM BIOTECHNOLOGIES, INC.
800 SAGINAW DRIVE
REDWOOD CITY
CA
94063
1
0
0
0
Common Stock
2020-05-04
4
M
0
23334
6.48
A
53334
I
By Trust
Stock Option (Right to Buy)
6.48
2020-05-04
4
M
0
23334
0.00
D
2029-04-30
Common Stock
23334
46666
D
Shares are held directly by James Paul Scopa and Anne Eunice Kenner, as Trustees of The James P. Scopa and Anne E. Kenner Family Trust.
1/3 of the total number of shares subject to the option vest and become exercisable on each anniversary of May 1, 2019 (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.
James Paul Scopa, by /s/ Thomas Leung, Attorney-in-Fact
2020-05-05