0001209191-17-052148.txt : 20170908 0001209191-17-052148.hdr.sgml : 20170908 20170908184005 ACCESSION NUMBER: 0001209191-17-052148 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170907 FILED AS OF DATE: 20170908 DATE AS OF CHANGE: 20170908 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Carter Eric G CENTRAL INDEX KEY: 0001387660 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36579 FILM NUMBER: 171077577 MAIL ADDRESS: STREET 1: C/O KING PHARMACEUTICALS, INC. STREET 2: 501 FIFTH STREET CITY: BRISTOL STATE: TN ZIP: 37620 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 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2017-09-07 0 0001501756 Adverum Biotechnologies, Inc. ADVM 0001387660 Carter Eric G C/O ADVERUM BIOTECHNOLOGIES, INC. 1035 O'BRIEN DRIVE MENLO PARK CA 94025 1 0 0 0 Common Stock 2017-09-07 4 A 0 48000 0.00 A 48000 D Stock Option (Right to Buy) 2.70 2017-09-07 4 A 0 69000 0.00 A 2027-09-06 Common Stock 69000 69000 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 1/3 of the shares subject thereto on each anniversary of September 7, 2017 (the "Vesting Commencement Date"), such that all of the shares subject to the RSUs shall be vested 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. 1/3 of the total number of shares subject to the option vest and become exercisable on each anniversary of September 7, 2017 (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. Eric G. Carter, by /s/ Leone Patterson, Attorney-in-Fact 2017-09-08