0001209191-17-027841.txt : 20170421
0001209191-17-027841.hdr.sgml : 20170421
20170421163457
ACCESSION NUMBER: 0001209191-17-027841
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20170419
FILED AS OF DATE: 20170421
DATE AS OF CHANGE: 20170421
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: Spivey Richard N.
CENTRAL INDEX KEY: 0001648385
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36579
FILM NUMBER: 17776302
MAIL ADDRESS:
STREET 1: C/O INOTEK PHARMACEUTICALS CORPORATION
STREET 2: 131 HARTWELL AVENUE, SUITE 105
CITY: LEXINGTON
STATE: MA
ZIP: 02421
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2017-04-19
0
0001501756
Adverum Biotechnologies, Inc.
ADVM
0001648385
Spivey Richard N.
C/O ADVERUM BIOTECHNOLOGIES, INC.
1035 O'BRIEN DRIVE
MENLO PARK
CA
94025
1
0
0
0
Common Stock
2017-04-19
4
A
0
48077
0.00
A
48077
D
Stock Option (Right to Buy)
2.60
2017-04-19
4
A
0
69061
0.00
A
2027-04-18
Common Stock
69061
69061
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 1/3 of the shares subject thereto on each anniversary of April 19, 2017 (the "Vesting Commencement Date"), such that all of the shares subject to the RSUs shall be vested as of the third anniversary of the Vesting Commencement Date, subject to the Reporting Person's continued service with the Issuer on each such vesting date.
1/3 of the total number of shares subject to the option vest and become exercisable on each anniversary of the Vesting Commencement Date, such that all of the shares subject to the option shall become vested and exercisable as of the third anniversary of the Vesting Commencement Date, subject to the Reporting Person's continued service with the Issuer on each such vesting date.
/s/ Leone Patterson, Attorney-in-Fact for Richard N. Spivey
2017-04-21