0001209191-16-129115.txt : 20160621
0001209191-16-129115.hdr.sgml : 20160621
20160621175129
ACCESSION NUMBER: 0001209191-16-129115
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20160617
FILED AS OF DATE: 20160621
DATE AS OF CHANGE: 20160621
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: 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
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Barone Samuel B.
CENTRAL INDEX KEY: 0001614995
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36579
FILM NUMBER: 161725166
MAIL ADDRESS:
STREET 1: C/O AVALANCHE BIOTECHNOLOGIES, INC.
STREET 2: 1035 O'BRIEN DRIVE, SUITE A
CITY: MENLO PARK
STATE: CA
ZIP: 94025
FORMER NAME:
FORMER CONFORMED NAME: Barone Sameul B.
DATE OF NAME CHANGE: 20140728
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2016-06-17
0
0001501756
Adverum Biotechnologies, Inc.
ADVM
0001614995
Barone Samuel B.
C/O ADVERUM BIOTECHNOLOGIES, INC.
1035 O'BRIEN DRIVE
MENLO PARK
CA
94025
0
1
0
0
SVP, Clinical Development
Common Stock
2016-06-17
4
A
0
20000
0.00
A
114335
D
Stock Option (Right to Buy)
3.31
2016-06-17
4
A
0
50000
0.00
A
2026-06-16
Common Stock
50000
50000
D
Restricted Stock Units ("RSUs"). The Reporting Person is entitled to receive one (1) share of Common Stock of the Issuer for each one (1) RSU upon the vesting thereof. Such RSUs vest with respect to 25% of the shares subject thereto on each anniversary of June 17, 2016 (the "Vesting Commencement Date"), such that all of the shares subject to the RSUs shall be vested as of the fourth anniversary of the Vesting Commencement Date, subject to the Reporting Person's continued service with the Issuer on each such vesting date.
Includes 2,732 shares acquired through the Issuer's 2014 Employee Stock Purchase Plan on May 20, 2016.
Twenty-five percent (25%) of the total number of shares subject to the option vest and become exercisable on the first anniversary of the Vesting Commencement Date, and 1/48th of the total number of shares subject to the option vest and become exercisable each month thereafter, such that all of the shares subject to the option shall become vested and exercisable as of the fourth anniversary of the Vesting Commencement Date, subject to the Reporting Person's continued service with the Issuer on each such vesting date.
/s/ Michael Swartzburg, Attorney-in-Fact for Samuel B. Barone
2016-06-21