0001209191-17-019645.txt : 20170309 0001209191-17-019645.hdr.sgml : 20170309 20170309164831 ACCESSION NUMBER: 0001209191-17-019645 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170209 FILED AS OF DATE: 20170309 DATE AS OF CHANGE: 20170309 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: Cheng Jennifer C. CENTRAL INDEX KEY: 0001698816 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36579 FILM NUMBER: 17679058 MAIL ADDRESS: STREET 1: C/O ADVERUM BIOTECHNOLOGIES, INC. STREET 2: 1035 O'BRIEN DRIVE CITY: MENLO PARK STATE: CA ZIP: 94025 3 1 doc3.xml FORM 3 SUBMISSION X0206 3 2017-02-09 0 0001501756 Adverum Biotechnologies, Inc. ADVM 0001698816 Cheng Jennifer C. C/O ADVERUM BIOTECHNOLOGIES, INC. 1035 O'BRIEN DRIVE MENLO PARK CA 94025 0 1 0 0 General Counsel Common Stock 107713 D Stock Option (Right to Buy) 40.28 2025-06-04 Common Stock 15000 D Stock Option (Right to Buy) 4.09 2026-09-19 Common Stock 35000 D Stock Option (Right to Buy) 2.70 2027-02-08 Common Stock 72000 D 25% of the shares subject to the option vested and became exercisable on June 5, 2016, and the remaining shares vest in 36 successive, equal installments on each monthly anniversary thereafter, subject to the Reporting Person's continued employment or service relationship with the Issuer on each such vesting date. 25% of the shares subject to the option vest and become exercisable on September 20, 2017, and the remaining shares vest in 36 successive, equal installments on each monthly anniversary thereafter, subject to the Reporting Person's continued employment or service relationship with the Issuer on each such vesting date. 25% of the shares subject to the option vest and become exercisable on February 9, 2018, and the remaining shares vest in 36 successive, equal installments on each monthly anniversary thereafter, subject to the Reporting Person's continued employment or service relationship with the Issuer on each such vesting date. /s/ Jennifer C. Cheng, Ph.D., J.D. 2017-03-09