0001181431-15-008177.txt : 20150611 0001181431-15-008177.hdr.sgml : 20150611 20150611182139 ACCESSION NUMBER: 0001181431-15-008177 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20150610 FILED AS OF DATE: 20150611 DATE AS OF CHANGE: 20150611 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Avalanche 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, SUITE A CITY: MENLO PARK STATE: CA ZIP: 94025 BUSINESS PHONE: 650-272-6269 MAIL ADDRESS: STREET 1: 1035 O?BRIEN DRIVE, SUITE A CITY: MENLO PARK STATE: CA ZIP: 94025 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Chalberg Thomas W. CENTRAL INDEX KEY: 0001614872 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36579 FILM NUMBER: 15927036 MAIL ADDRESS: STREET 1: C/O AVALANCHE BIOTECHNOLOGIES, INC. STREET 2: 1035 O'BRIEN DRIVE, SUITE A CITY: MENLO PARK STATE: CA ZIP: 94025 4 1 rrd425699.xml X0306 4 2015-06-10 0 0001501756 Avalanche Biotechnologies, Inc. [AAVL] 0001614872 Chalberg Thomas W. C/O AVALANCHE BIOTECHNOLOGIES, INC. 1035 O'BRIEN DRIVE, SUITE A MENLO PARK CA 94025 1 1 0 0 Chief Executive Officer Common Stock 2015-06-10 4 S 0 5035 36.8883 D 278953 D Common Stock 2015-06-10 4 S 0 12970 38.0369 D 265983 D Common Stock 2015-06-10 4 S 0 6995 38.9025 D 258988 D Common Stock 420000 I See Footnote Common Stock 420000 I See Footnote Common Stock 413 I See Footnote Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person. This transaction was executed in multiple trades in prices ranging from $36.4300 to $37.4000, inclusive. The price reported in Column 4 above reflects the weighted average sales price. The Reporting Person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote. This transaction was executed in multiple trades in prices ranging from $37.4600 to $38.4550, inclusive. The price reported in Column 4 above reflects the weighted average sales price. The Reporting Person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote. This transaction was executed in multiple trades in prices ranging from $38.5900 to $39.1050, inclusive. The price reported in Column 4 above reflects the weighted average sales price. The Reporting Person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote. The Shares are held directly by Thomas W. Chalberg, as Trustee of the Thomas W. Chalberg 2014 Grantor Retained Annuity Trust under agreement dated April 30, 2014. The Shares are held directly by the Stefanie R. Chalberg 2014 Grantor Retained Annuity Trust under agreement dated April 30, 2014. The Shares are held directly by the 2009 Chalberg Family Trust, Thomas W. Chalberg, Jr. and Stefanie Raue Chalberg, Trustees. /s/ Michael Swartzburg, Attorney-in-Fact for Thomas W. Chalberg 2015-06-11