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