0001209191-20-031045.txt : 20200520
0001209191-20-031045.hdr.sgml : 20200520
20200520193310
ACCESSION NUMBER: 0001209191-20-031045
CONFORMED SUBMISSION TYPE: 4/A
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20200115
FILED AS OF DATE: 20200520
DATE AS OF CHANGE: 20200520
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Gasmi Mehdi
CENTRAL INDEX KEY: 0001614875
FILING VALUES:
FORM TYPE: 4/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36579
FILM NUMBER: 20899592
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: 800 SAGINAW DRIVE
CITY: REDWOOD CITY
STATE: CA
ZIP: 94063
BUSINESS PHONE: 650-272-6269
MAIL ADDRESS:
STREET 1: 800 SAGINAW DRIVE
CITY: REDWOOD CITY
STATE: CA
ZIP: 94063
FORMER COMPANY:
FORMER CONFORMED NAME: Avalanche Biotechnologies, Inc.
DATE OF NAME CHANGE: 20100921
4/A
1
doc4a.xml
FORM 4/A SUBMISSION
X0306
4/A
2020-01-15
2020-02-14
0
0001501756
Adverum Biotechnologies, Inc.
ADVM
0001614875
Gasmi Mehdi
C/O ADVERUM BIOTECHNOLOGIES, INC.
800 SAGINAW DRIVE
REDWOOD CITY
CA
94063
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
31482
11.33
D
289936
D
Common Stock
2020-02-12
4
F
0
15494
15.05
D
274442
D
Common Stock
2020-02-12
4
M
0
10000
4.80
A
284442
D
Common Stock
2020-02-12
4
S
0
10000
15.069
D
274442
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.
This Form 4 Amendment is being filed solely to correct the amount of shares surrendered to satisfy a tax withholding obligation in line 2 of Table I and to correct an arithmetic error in Box 5 of line 3. The amount previously reflected in Box 4 of line 2 was 31,451 shares and should have been reflected as 31,482 shares. As a result of these corrections, the number of shares beneficially owned in Box 5 of Table I has been adjusted accordingly.
Mehdi Gasmi by /s/ Peter Soparkar, Attorney-in-Fact.
2020-05-20
EX-24.4A_916645
2
poa.txt
POA DOCUMENT
POWER OF ATTORNEY
Know all by these presents, that the undersigned hereby constitutes and
appoints each of (i) the Chief Executive Officer of Adverum Biotechnologies,
Inc., a Delaware corporation (the "Company"), who is currently Leone Patterson,
(ii) the Company's Chief Legal Officer, who is currently Peter Soparkar, (iii)
the Company's Chief Financial Officer, who is currently Thomas Leung, and (iv)
Ron A. Metzger of Cooley LLP, and their respective successors, signing singly,
with full power of substitution, as the undersigned's true and lawful
attorney-in-fact to:
(1) execute for and on behalf of the undersigned, in the undersigned's
capacity as an officer and/or director of the Company, Forms 3, 4 and 5
(including amendments thereto) in accordance with Section 16(a) of the
Securities Exchange Act of 1934 and the rules and regulations thereunder;
(2) do and perform any and all acts for and on behalf of the undersigned which
may be necessary or desirable to complete and execute any such Forms 3, 4 or 5
and timely file such forms (including amendments thereto) and application with
the United States Securities and Exchange Commission and any stock exchange or
similar authority; and
(3) take any other action of any type whatsoever in connection with the
foregoing which, in the opinion of such attorney-in-fact, may be of benefit to,
in the best interest of, or legally required by, the undersigned, it being
understood that the documents executed by such attorney-in-fact on behalf of the
undersigned pursuant to this Power of Attorney shall be in such form and shall
contain such terms and conditions as such attorney-in-fact may approve in such
attorney-in-fact's discretion.
The undersigned hereby grants to each such attorney-in-fact full power and
authority to do and perform any and every act and thing whatsoever requisite,
necessary or proper to be done in the exercise of any of the rights and powers
herein granted, as fully to all intents and purposes as the undersigned might or
could do if personally present, with full power of substitution or revocation,
hereby ratifying and confirming all that such attorney-in-fact, or such
attorney-in-fact's substitute or substitutes, shall lawfully do or cause to be
done by virtue of this power of attorney and the rights and powers herein
granted. The undersigned acknowledges that the foregoing attorneys-in-fact, in
serving in such capacity at the request of the undersigned, are not assuming,
nor is the Company assuming, any of the undersigned's responsibilities to comply
with Section 16 of the Securities Exchange Act of 1934.
The undersigned agrees that each such attorney-in-fact herein may rely entirely
on information furnished orally or in writing by the undersigned to such
attorney-in-fact. The undersigned also agrees to indemnify and hold harmless
the Company and each such attorney-in-fact against any losses, claims, damages
or liabilities (or actions in these respects) that arise out of or are based
upon any untrue statements or omission of necessary facts in the information
provided by the undersigned to such attorney-in fact for purposes of executing,
acknowledging, delivering or filing Forms 3, 4 or 5 (including amendments
thereto) and agrees to reimburse the Company and such attorney-in-fact for any
legal or other expenses reasonably incurred in connection with investigating or
defending against any such loss, claim, damage, liability or action.
This Power of Attorney shall remain in full force and effect until the
undersigned is no longer required to file Forms 3, 4 or 5 with respect to the
undersigned's holdings of and transactions in securities issued by the Company,
unless earlier (a) revoked by the undersigned in a signed writing delivered to
the foregoing attorneys-in-fact or (b) superseded by a new power of attorney
regarding the purposes outlined in the first paragraph hereof dated as of a
later date.
IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to be
executed as of this 6th day of May, 2020.
/s/ Mehdi Gasmi
________________
Mehdi Gasmi