|
|
|
(State or other jurisdiction
of incorporation)
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(Commission
File Number)
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(I.R.S. Employer
Identification No.)
|
|
Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
|
|
Soliciting material pursuant to Rule 14a–12 under the Exchange Act
(17 CFR 240.14a–12)
|
|
Pre-commencement communication pursuant to Rule 14d–2(b) under the
Exchange Act (17 CFR 240.14d–2(b))
|
|
Pre-commencement communications pursuant to Rule 13e–4(c) under
the Exchange Act (17 CFR 240.13e–4(c))
|
Title of each class
|
Trading Symbol(s)
|
Name of each exchange on which registered
|
|
|
|
Emerging growth company
|
|
Proposal No. 1. |
Election of Directors: This was a contested election to
elect three directors to serve until the 2024 Annual Meeting of Stockholders. Adverum had nominated three directors and The Sonic Fund II, L.P. (“Sonic”) had nominated three directors.
|
Proposal No. 2. |
Ratification of Selection of Independent Registered Public Accounting Firm.
Adverum’s stockholders were asked to ratify the selection of Ernst & Young LLP as the independent registered public accounting firm of Adverum for its fiscal year ending December 31, 2021.
|
Proposal No. 3. |
Advisory Approval of Executive Compensation. Adverum’s stockholders were
asked to approve, on an advisory basis, of the compensation of Adverum’s named executive officers, as disclosed in the proxy statement.
|
Votes
For
|
Votes
Withheld
|
|||
Dawn Svoronos
|
48,299,685
|
5,236,404
|
||
Reed V. Tuckson, M.D.
|
53,131,087
|
405,002
|
||
Thomas Woiwode, Ph.D.
|
53,148,231
|
387,858
|
Votes
For
|
Votes
Withheld
|
|||
Jean Bennett, M.D., Ph.D.
|
22,141,498
|
38,446
|
||
Jodi Cook, Ph.D.
|
22,132,266
|
47,678
|
||
Herbert Hughes
|
22,126,237
|
53,707
|
Votes For
|
Votes
Against
|
Abstentions
|
75,585,161
|
126,559
|
380,022
|
Votes For
|
Votes
Against
|
Abstentions
|
46,353,570
|
29,287,503
|
74,960
|
Adverum Biotechnologies, Inc.
|
||
Date: May 14, 2021
|
By:
|
/s/ Laurent Fischer, M.D.
|
Laurent Fischer, M.D.
|
||
Chief Executive Officer
|
Document and Entity Information |
May 12, 2021 |
---|---|
Cover [Abstract] | |
Document Type | 8-K |
Amendment Flag | false |
Document Period End Date | May 12, 2021 |
Entity Registrant Name | Adverum Biotechnologies, Inc. |
Entity Incorporation, State or Country Code | DE |
Entity File Number | 001-36579 |
Entity Tax Identification Number | 20-5258327 |
Entity Address, Address Line One | 800 Saginaw Drive |
Entity Address, City or Town | Redwood City |
Entity Address, State or Province | CA |
Entity Address, Postal Zip Code | 94063 |
City Area Code | 650 |
Local Phone Number | 656-9323 |
Written Communications | false |
Soliciting Material | false |
Pre-commencement Tender Offer | false |
Pre-commencement Issuer Tender Offer | false |
Entity Emerging Growth Company | false |
Entity Central Index Key | 0001501756 |
Title of 12(b) Security | Common Stock |
Trading Symbol | ADVM |
Security Exchange Name | NASDAQ |
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