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