0001209191-23-019841.txt : 20230317 0001209191-23-019841.hdr.sgml : 20230317 20230317180259 ACCESSION NUMBER: 0001209191-23-019841 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230315 FILED AS OF DATE: 20230317 DATE AS OF CHANGE: 20230317 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Riley Brigit CENTRAL INDEX KEY: 0001882857 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36579 FILM NUMBER: 23744184 MAIL ADDRESS: STREET 1: 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 2023-03-15 0 0001501756 Adverum Biotechnologies, Inc. ADVM 0001882857 Riley Brigit C/O ADVERUM BIOTECHNOLOGIES, INC. 100 CARDINAL WAY REDWOOD CITY CA 94063 0 1 0 0 Chief Scientific Officer Common Stock 2023-03-15 4 S 0 7299 0.7816 D 117435 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. Includes 6,000 shares purchased on November 18, 2022 pursuant to the Issuer's 2014 Employee Stock Purchase Plan, as amended and restated. Brigit Riley, by /s/ Ron A. Metzger, Attorney-in-Fact 2023-03-17