0001209191-22-050402.txt : 20220916 0001209191-22-050402.hdr.sgml : 20220916 20220916190002 ACCESSION NUMBER: 0001209191-22-050402 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20220914 FILED AS OF DATE: 20220916 DATE AS OF CHANGE: 20220916 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Rakow John CENTRAL INDEX KEY: 0001933028 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36579 FILM NUMBER: 221249112 MAIL ADDRESS: STREET 1: C/O ADVERUM BIOTECHNOLOGIES, INC. STREET 2: 100 CARDINAL WAY 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: 100 CARDINAL WAY CITY: REDWOOD CITY STATE: CA ZIP: 94063 BUSINESS PHONE: (650) 649-1004 MAIL ADDRESS: STREET 1: 100 CARDINAL WAY 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 2022-09-14 0 0001501756 Adverum Biotechnologies, Inc. ADVM 0001933028 Rakow John C/O ADVERUM BIOTECHNOLOGIES, INC. 100 CARDINAL WAY REDWOOD CITY CA 94063 0 1 0 0 SVP, Genl Counsel, Acting CFO Stock Option (Right to Buy) 1.09 2022-09-14 4 A 0 42813 0.00 A 2032-09-13 Common Stock 42813 42813 D Performance Based Stock Option (Right to Buy) 1.09 2022-09-14 4 A 0 75257 0.00 A 2032-09-13 Common Stock 75257 75257 D The options will vest in equal monthly installments over three years, such that all of the shares subject to the option shall become vested and exercisable as of the third anniversary of September 14, 2022, provided the Reporting Person continues to provide Continuous Service (as defined in the Issuer's 2014 Equity Incentive Plan) on each such vesting date. All of the shares subject to the Performance Based Stock Option shall vest and become exercisable upon certification by the Compensation Committee of the Board of Directors of the Issuer that one full Nasdaq trading session has elapsed since the Issuer's public disclosure of final topline results from the LUNA Phase 2 clinical trial of ADVM-022 in wet age-related macular degeneration (the "Performance Based Stock Option Vesting Date"), provided the Reporting Person continues to provide Continuous Service (as defined in the Issuer's 2014 Equity Incentive Plan) from September 14, 2022 through the Performance Based Stock Option Vesting Date. John Rakow, by /s/ Ron A. Metzger, Attorney-in-Fact 2022-09-16