0001209191-20-031047.txt : 20200520 0001209191-20-031047.hdr.sgml : 20200520 20200520193423 ACCESSION NUMBER: 0001209191-20-031047 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200505 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 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36579 FILM NUMBER: 20899594 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 1 doc4.xml FORM 4 SUBMISSION X0306 4 2020-05-05 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 2020-05-05 4 M 0 10000 4.80 A 284442 D Common Stock 2020-05-05 4 S 0 10000 16.2573 D 274442 D Common Stock 2020-05-06 4 M 0 25000 4.80 A 299442 D Common Stock 2020-05-06 4 S 0 25000 20.0267 D 274442 D Common Stock 2020-05-18 4 M 0 5000 4.80 A 279442 D Common Stock 2020-05-18 4 S 0 4700 18.1115 D 274742 D Common Stock 2020-05-18 4 S 0 300 19.03 D 274442 D Stock Option (Right to Buy) 4.80 2020-05-05 4 M 0 10000 0.00 D 2026-02-11 Common Stock 10000 163000 D Stock Option (Right to Buy) 4.80 2020-05-06 4 M 0 25000 0.00 D 2026-02-11 Common Stock 25000 138000 D Stock Option (Right to Buy) 4.80 2020-05-18 4 M 0 5000 0.00 D 2026-02-11 Common Stock 5000 133000 D The balance of shares reflected in Reporting Person's prior Form 4 was inadvertently reflected as 258,979 shares and should have been reflected as 274,298 shares. The Form 4 originally reflecting the incorrect balance, filed with the SEC on 2/14/2020, has been amended to reflect the correct end of period balance in Column 5 of Table I in that filing. Shares sold pursuant to a 10b5-1 plan. Price reported is a weighted-average sales price. The shares were sold at prices ranging from $16.15 to $16.39. 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. Price reported is a weighted-average sales price. The shares were sold at prices ranging from $20.00 to $20.13. 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. Price reported is a weighted-average sales price. The shares were sold at prices ranging from $17.63 to $18.54. 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. Price reported is a weighted-average sales price. The shares were sold at prices ranging from $18.93 to $19.14. 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. Fully vested and exercisable. Mehdi Gasmi, by /s/ Peter Soparkar, Attorney-in-Fact 2020-05-20