0000902664-18-001079.txt : 20180214 0000902664-18-001079.hdr.sgml : 20180214 20180214111121 ACCESSION NUMBER: 0000902664-18-001079 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20180214 DATE AS OF CHANGE: 20180214 SUBJECT COMPANY: 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 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-88266 FILM NUMBER: 18608921 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 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: HIGHBRIDGE CAPITAL MANAGEMENT LLC CENTRAL INDEX KEY: 0000919185 IRS NUMBER: 134131516 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 40 WEST 57TH ST. STREET 2: 32ND FLOOR CITY: NEW YORK STATE: NY ZIP: 10019 BUSINESS PHONE: 2122874900 MAIL ADDRESS: STREET 1: 40 WEST 57TH ST. STREET 2: 32ND FLOOR CITY: NEW YORK STATE: NY ZIP: 10019 FORMER COMPANY: FORMER CONFORMED NAME: HIGHBRIDGE CAPITAL MANAGEMENT INC /NY DATE OF NAME CHANGE: 19980610 FORMER COMPANY: FORMER CONFORMED NAME: DUBIN & SWIECA ASSET MANAGEMENT INC DATE OF NAME CHANGE: 19950817 SC 13G/A 1 p18-0432sc13ga.htm ADVERUM BIOTECHNOLOGIES, INC.

 

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 
 

SCHEDULE 13G/A

 

 
 
Under the Securities Exchange Act of 1934
 
(Amendment No. 1)*
 

Adverum Biotechnologies, Inc.

(Name of Issuer)
 

Common Stock, par value $0.0001 per share

(Title of Class of Securities)
 

00773U108

(CUSIP Number)
 

December 31, 2017 

(Date of event which requires filing of this statement)
  

Check the appropriate box to designate the rule pursuant to which this Schedule 13G/A is filed:
 
☐Rule 13d-1(b)
☒Rule 13d-1(c)
☐ Rule 13d-1(d)
 
(Page 1 of 5 Pages)

 

 

*The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page.

 

The information required in the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).

 

 

CUSIP No. 00773U10813G/APage 2 of 5 Pages

  

  1

NAMES OF REPORTING PERSONS 

Highbridge Capital Management, LLC 

 

  2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(a) ☐ 

(b) ☐ 

  3

SEC USE ONLY

 

  4

CITIZENSHIP OR PLACE OF ORGANIZATION 

State of Delaware

NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH		 5

SOLE VOTING POWER 

0 

6

SHARED VOTING POWER 

2,700,000 shares of Common Stock (including 400,000 shares of Common Stock issuable upon exercise of call options) 

7

SOLE DISPOSITIVE POWER 

0 

8

SHARED DISPOSITIVE POWER 

2,700,000 shares of Common Stock (including 400,000 shares of Common Stock issuable upon exercise of call options) 

  9

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 

2,700,000 shares of Common Stock (including 400,000 shares of Common Stock issuable upon exercise of call options) 

10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES ☐
11

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 

5.99% 

12

TYPE OF REPORTING PERSON 

IA, OO 

         

 

 

CUSIP No. 00773U10813G/APage 3 of 5 Pages

   

  1

NAMES OF REPORTING PERSONS

1992 MSF International Ltd. 

 

  2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(a) ☐ 

(b) ☐ 

  3

SEC USE ONLY

 

  4

CITIZENSHIP OR PLACE OF ORGANIZATION 

Cayman Islands, British West Indies 

NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH		 5

SOLE VOTING POWER 

0

 

6

SHARED VOTING POWER 

2,700,000 shares of Common Stock (including 400,000 shares of Common Stock issuable upon exercise of call options) 

7

SOLE DISPOSITIVE POWER 

0 

8

SHARED DISPOSITIVE POWER 

2,700,000 shares of Common Stock (including 400,000 shares of Common Stock issuable upon exercise of call options) 

  9

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 

2,700,000 shares of Common Stock (including 400,000 shares of Common Stock issuable upon exercise of call options) 

10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES ☐
11

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 

5.99% 

12

TYPE OF REPORTING PERSON 

OO 

         

 

 

CUSIP No. 00773U10813G/APage 4 of 5 Pages

 

This Amendment No. 1 (this “Amendment No. 1”) amends the statement on Schedule 13G filed with the Securities and Exchange Commission (the “SEC”) on December 6, 2017 (the “Original Schedule 13G” and together with this Amendment No. 1 the “Schedule 13G”), with respect to the Common Stock, par value $0.0001 per share (the “Common Stock”), of Adverum Biotechnologies, Inc., a Delaware corporation (the “Company”). Capitalized terms used herein and not otherwise defined have the meanings set forth in the Schedule 13G. This Amendment No.1 amends and restates Item 4 in its entirety as set forth below.

 

Item 4. OWNERSHIP.

 

 

(a)        Amount beneficially owned:

 

As of December 31, 2017, (i) 1992 MSF International Ltd. may be deemed to beneficially own 2,700,000 shares of Common Stock (including 400,000 shares of Common Stock issuable upon exercise of call options) and (ii) Highbridge Capital Management, LLC, as the trading manager of 1992 MSF International Ltd., may be deemed to be the beneficial owner of the 2,700,000 shares of Common Stock (including 400,000 shares of Common Stock issuable upon exercise of call options) held by 1992 MSF International Ltd.

 

(b)        Percent of class:

 

The percentages used herein and in the rest of this Schedule 13G/A are calculated based upon 45,041,468 shares of Common Stock outstanding, as reported in the Company’s Quarterly Report on Form 10-Q for the quarterly period ended September 30, 2017 filed with the SEC on November 8, 2017. Therefore, as of December 31, 2017, (i) 1992 MSF International Ltd. may be deemed to beneficially own approximately 5.99% of the outstanding shares of Common Stock and (ii) Highbridge Capital Management, LLC may be deemed to beneficially own approximately 5.99% of the outstanding shares of Common Stock.

 

The foregoing should not be construed in and of itself as an admission by any Reporting Person as to beneficial ownership of the shares of Common Stock (including the shares of Common Stock issuable upon exercise of the options) held by 1992 MSF International Ltd.

 

(c)         Number of shares as to which such person has:

 

(i)        Sole power to vote or to direct the vote

 

0

 

(ii)       Shared power to vote or to direct the vote

 

See Item 4(a)

 

(iii)      Sole power to dispose or to direct the disposition of

 

0

 

(iv)      Shared power to dispose or to direct the disposition of

 

See Item 4(a) 

 

 

CUSIP No. 00773U10813G/APage 5 of 5 Pages

 

SIGNATURES

 

After reasonable inquiry and to the best of our knowledge and belief, the undersigned certifies that the information set forth in this statement is true, complete and correct.

 

DATED: February 14, 2018

 

HIGHBRIDGE CAPITAL MANAGEMENT, LLC
     
By:   /s/ John Oliva  
Name:   John Oliva  
Title:   Managing Director  

 

1992 MSF INTERNATIONAL LTD.
     
By:   Highbridge Capital Management, LLC
    its Trading Manager  
     
By:   /s/ John Oliva  
Name:   John Oliva  
Title:   Managing Director