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