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