UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM
CURRENT REPORT
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| Item 5.07 | Submission of Matters to a Vote of Security Holders. |
On June 17, 2024, Adverum Biotechnologies, Inc. (“Adverum”) held its 2024 Annual Meeting of Stockholders (the “Annual Meeting”). Stockholders who owned Adverum’s common stock at the close of business on April 22, 2024, the record date for the Annual Meeting, were entitled to vote at the 2024 Annual Meeting. As of the record date, 20,756,787 shares of Adverum’s common stock were outstanding and entitled to vote at the Annual Meeting. At the Annual Meeting, 15,854,583 shares of Adverum’s common stock were voted in person or by proxy for the proposals set forth below, each of which is described in Adverum’s Proxy Statement on Schedule 14A filed with the U.S. Securities and Exchange Commission on May 2, 2024 (the “Proxy Statement”).
Proposal No. 1. Election of Directors
Adverum’s stockholders elected the Class I director nominees below to Adverum’s Board of Directors, each to hold office until the 2027 Annual Meeting of Stockholders and his or her successor is elected and has qualified, or until his or her earlier death, resignation or removal. The votes were as follows:
| Votes For |
Votes Withheld |
Broker Non-Votes | ||||||||||
| Soo Hong |
12,490,087 | 1,302,985 | 2,061,511 | |||||||||
| Dawn Svoronos |
11,414,932 | 2,378,140 | 2,061,511 | |||||||||
| Reed Tuckson, M.D. |
11,695,332 | 2,097,740 | 2,061,511 | |||||||||
Proposal No. 2. Ratification of Selection of Independent Registered Public Accounting Firm
Adverum’s stockholders ratified the selection of Ernst & Young LLP as the independent registered public accounting firm of Adverum for its fiscal year ending December 31, 2024. The votes were as follows:
| Votes For | Votes Against |
Abstentions | Broker Non- Votes | |||
| 15,816,318 | 32,193 | 6,072 | — |
Proposal No. 3. Advisory Vote on Compensation of Named Executive Officers
Adverum’s stockholders approved, on an advisory basis, the compensation of Adverum’s named executive officers as set forth in the Proxy Statement. The votes were as follows:
| Votes For | Votes Against |
Abstentions | Broker Non- Votes | |||
| 12,184,261 | 1,589,765 | 19,046 | 2,061,511 |
Proposal No. 4. Approval of Adverum Biotechnologies, Inc. 2024 Equity Incentive Award Plan
Adverum’s stockholders approved Adverum Biotechnologies, Inc. 2024 Equity Incentive Award Plan. The votes were as follows:
| Votes For | Votes Against |
Abstentions | Broker Non- Votes | |||
| 10,994,082 | 2,778,648 | 20,342 | 2,061,511 |
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
| ADVERUM BIOTECHNOLOGIES, INC. | ||||||
| Date: June 18, 2024 | By: | /s/ Laurent Fischer | ||||
| Laurent Fischer, M.D. | ||||||
| President and Chief Executive Officer | ||||||