0001209191-22-050954.txt : 20220921 0001209191-22-050954.hdr.sgml : 20220921 20220921195945 ACCESSION NUMBER: 0001209191-22-050954 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20220919 FILED AS OF DATE: 20220921 DATE AS OF CHANGE: 20220921 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Soparkar Peter CENTRAL INDEX KEY: 0001736315 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36579 FILM NUMBER: 221257657 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 2022-09-19 0 0001501756 Adverum Biotechnologies, Inc. ADVM 0001736315 Soparkar Peter C/O ADVERUM BIOTECHNOLOGIES, INC. 100 CARDINAL WAY REDWOOD CITY CA 94063 0 1 0 0 See Remarks section Common Stock 2022-09-19 4 S 0 13305 1.0697 D 273251 D The sales reported on this Form 4 were effected to satisfy certain tax obligations of the Reporting Person incurred with the vesting and settlement of certain performance stock units. Price reported is a weighted-average sale price. The shares were sold at prices ranging from $1.069589 to $1.0728. 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. Includes 6,000 shares purchased on May 20, 2022 pursuant to the Issuer's 2014 Employee Stock Purchase Plan, as amended and restated. chief Operating Officer and Chief and Chief Legal Officer Peter Soparkar, by /s/ Ron A. Metzger, Attorney-in-Fact 2022-09-21