0001209191-20-009847.txt : 20200214 0001209191-20-009847.hdr.sgml : 20200214 20200214205704 ACCESSION NUMBER: 0001209191-20-009847 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200115 FILED AS OF DATE: 20200214 DATE AS OF CHANGE: 20200214 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Gasmi Mehdi CENTRAL INDEX KEY: 0001614875 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36579 FILM NUMBER: 20623016 MAIL ADDRESS: STREET 1: C/O AVALANCHE BIOTECHNOLOGIES, INC. STREET 2: 1035 O'BRIEN DRIVE, SUITE A CITY: MENLO PARK STATE: CA ZIP: 94025 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 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2020-01-15 0 0001501756 Adverum Biotechnologies, Inc. ADVM 0001614875 Gasmi Mehdi C/O ADVERUM BIOTECHNOLOGIES, INC. 1035 O'BRIEN DRIVE MENLO PARK CA 94025 1 0 0 0 Common Stock 2020-01-15 4 A 0 88496 0.00 A 321418 D Common Stock 2020-02-12 4 F 0 31451 11.33 D 289967 D Common Stock 2020-02-12 4 F 0 15494 15.05 D 258979 D Common Stock 2020-02-12 4 M 0 10000 4.80 A 268979 D Common Stock 2020-02-12 4 S 0 10000 15.069 D 258979 D Stock Option (Right to Buy) 4.80 2020-02-12 4 M 0 10000 0.00 D 2026-02-11 Common Stock 10000 178000 D Represents shares of Common Stock issued upon vesting of restricted stock units with performance-based vesting pursuant to the Separation Agreement between the Reporting Person and Issuer, dated July 30, 2019. Reflects shares withheld by the Issuer upon vesting of restricted stock units to satisfy withholding tax obligations. Shares sold pursuant to a 10b5-1 plan. Price reported is a weighted-average sales price. The shares were sold at prices ranging from $15.00 to $15.13. The reporting person will provide upon request to the SEC, the Issuer or security holder of the Issuer, full information regarding the number of shares sold at each separate price. 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. Mehdi Gasmi by /s/ Thomas Leung, Attorney-in-Fact. 2020-02-14