0001209191-20-038958.txt : 20200625
0001209191-20-038958.hdr.sgml : 20200625
20200625174415
ACCESSION NUMBER: 0001209191-20-038958
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20200623
FILED AS OF DATE: 20200625
DATE AS OF CHANGE: 20200625
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: 20990297
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: 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
2020-06-23
0
0001501756
Adverum Biotechnologies, Inc.
ADVM
0001387660
Carter Eric G
C/O ADVERUM BIOTECHNOLOGIES, INC.
800 SAGINAW DRIVE
REDWOOD CITY
CA
94063
1
0
0
0
Stock Option (Right to Buy)
25.64
2020-06-23
4
A
0
30000
0.00
A
2030-06-22
Common Stock
30000
30000
D
The shares subject to the option will vest on the earlier of June 23, 2021 or the 2021 annual meeting of stockholders, subject to (1) accelerated vesting upon a change of control and (2) the Reporting Person's continued service with the Issuer on the vesting date.
Eric G. Carter, by /s/ Ron A. Metzger, Attorney-in-Fact
2020-06-25
EX-24.4_924608
2
poa.txt
POA DOCUMENT
POWER OF ATTORNEY
Know all by these presents, that the undersigned hereby constitutes and
appoints each of (i) the Chief Executive Officer of Adverum Biotechnologies,
Inc., a Delaware corporation (the "Company"), who is currently Laurent Fischer,
(ii) the President of the Company, who is currently Leone Patterson, (iii) the
Chief Legal Officer of the Company, who is currently Peter Soparkar, (iv) the
Company's Chief Financial Officer, who is currently Thomas Leung, and (v) Ron A.
Metzger of Cooley LLP, and their respective successors, signing singly, with
full power of substitution, as the undersigned's true and lawful
attorney-in-fact to:
(1) execute for and on behalf of the undersigned, in the undersigned's
capacity as an officer and/or director of the Company, Forms 3, 4 and 5
(including amendments thereto) in accordance with Section 16(a) of the
Securities Exchange Act of 1934 and the rules and regulations thereunder;
(2) do and perform any and all acts for and on behalf of the undersigned which
may be necessary or desirable to complete and execute any such Forms 3, 4 or 5
and timely file such forms (including amendments thereto) and application with
the United States Securities and Exchange Commission and any stock exchange or
similar authority; and
(3) take any other action of any type whatsoever in connection with the
foregoing which, in the opinion of such attorney-in-fact, may be of benefit to,
in the best interest of, or legally required by, the undersigned, it being
understood that the documents executed by such attorney-in-fact on behalf of the
undersigned pursuant to this Power of Attorney shall be in such form and shall
contain such terms and conditions as such attorney-in-fact may approve in such
attorney-in-fact's discretion.
The undersigned hereby grants to each such attorney-in-fact full power and
authority to do and perform any and every act and thing whatsoever requisite,
necessary or proper to be done in the exercise of any of the rights and powers
herein granted, as fully to all intents and purposes as the undersigned might or
could do if personally present, with full power of substitution or revocation,
hereby ratifying and confirming all that such attorney-in-fact, or such
attorney-in-fact's substitute or substitutes, shall lawfully do or cause to be
done by virtue of this power of attorney and the rights and powers herein
granted. The undersigned acknowledges that the foregoing attorneys-in-fact, in
serving in such capacity at the request of the undersigned, are not assuming,
nor is the Company assuming, any of the undersigned's responsibilities to comply
with Section 16 of the Securities Exchange Act of 1934.
The undersigned agrees that each such attorney-in-fact herein may rely entirely
on information furnished orally or in writing by the undersigned to such
attorney-in-fact. The undersigned also agrees to indemnify and hold harmless
the Company and each such attorney-in-fact against any losses, claims, damages
or liabilities (or actions in these respects) that arise out of or are based
upon any untrue statements or omission of necessary facts in the information
provided by the undersigned to such attorney-in fact for purposes of executing,
acknowledging, delivering or filing Forms 3, 4 or 5 (including amendments
thereto) and agrees to reimburse the Company and such attorney-in-fact for any
legal or other expenses reasonably incurred in connection with investigating or
defending against any such loss, claim, damage, liability or action.
This Power of Attorney shall remain in full force and effect until the
undersigned is no longer required to file Forms 3, 4 or 5 with respect to the
undersigned's holdings of and transactions in securities issued by the Company,
unless earlier (a) revoked by the undersigned in a signed writing delivered to
the foregoing attorneys-in-fact or (b) superseded by a new power of attorney
regarding the purposes outlined in the first paragraph hereof dated as of a
later date.
IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to be
executed as of this 25 day of June, 2020.
/s/ Eric G. Carter