0001209191-21-068555.txt : 20211208 0001209191-21-068555.hdr.sgml : 20211208 20211208172621 ACCESSION NUMBER: 0001209191-21-068555 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20211206 FILED AS OF DATE: 20211208 DATE AS OF CHANGE: 20211208 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: D'Souza Rupert CENTRAL INDEX KEY: 0001897112 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36579 FILM NUMBER: 211479648 MAIL ADDRESS: STREET 1: C/O ADVERUM BIOTECHNOLOGIES, INC. STREET 2: 800 SAGINAW DRIVE CITY: REDWOOD CITY STATE: CA ZIP: 94063 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 2021-12-06 0 0001501756 Adverum Biotechnologies, Inc. ADVM 0001897112 D'Souza Rupert C/O ADVERUM BIOTECHNOLOGIES, INC. 800 SAGINAW DRIVE REDWOOD CITY CA 94063 0 1 0 0 Chief Financial Officer Stock Option (Right to Buy) 1.77 2021-12-06 4 A 0 400000 0.00 A 2031-12-05 Common Stock 400000 400000 D Twenty-five percent (25%) of the total number of shares subject to the option vest and become exercisable on the first anniversary of December 6, 2021 (the "Vesting Commencement Date"), and 1/48 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. Rupert D'Souza, by /s/ Ron A. Metzger, Attorney-in-Fact 2021-12-08