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