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