0001209191-17-039965.txt : 20170614 0001209191-17-039965.hdr.sgml : 20170614 20170614190911 ACCESSION NUMBER: 0001209191-17-039965 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170612 FILED AS OF DATE: 20170614 DATE AS OF CHANGE: 20170614 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: 1035 O'BRIEN DRIVE CITY: MENLO PARK STATE: CA ZIP: 94025 BUSINESS PHONE: 650-272-6269 MAIL ADDRESS: STREET 1: 1035 O'BRIEN DRIVE CITY: MENLO PARK STATE: CA ZIP: 94025 FORMER COMPANY: FORMER CONFORMED NAME: Avalanche Biotechnologies, Inc. DATE OF NAME CHANGE: 20100921 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Cleveland Paul B CENTRAL INDEX KEY: 0001376797 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36579 FILM NUMBER: 17912164 MAIL ADDRESS: STREET 1: C/O AFFYMAX, INC. STREET 2: 4001 MIRANDA AVE. CITY: PALO ALTO STATE: CA ZIP: 94304 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2017-06-12 0 0001501756 Adverum Biotechnologies, Inc. ADVM 0001376797 Cleveland Paul B C/O ADVERUM BIOTECHNOLOGIES, INC. 1035 O'BRIEN DRIVE MENLO PARK CA 94025 1 1 0 0 Chief Executive Officer Common Stock 2017-06-12 4 A 0 22727 0.00 A 22727 D Stock Option (Right to Buy) 2.75 2017-06-12 4 A 0 33602 0.00 A 2018-06-12 2027-06-11 Common Stock 33602 33602 D Restricted Stock Units ("RSUs"). The Reporting Person is entitled to receive one (1) share of Common Stock of the Issuer for each one (1) RSU upon the vesting thereof. Such RSUs vest with respect to 100% of the shares subject thereto on June 12, 2018. /s/ Leone Patterson, Attorney-in-Fact for Paul B. Cleveland 2017-06-14