0001209191-23-049815.txt : 20230918 0001209191-23-049815.hdr.sgml : 20230918 20230918185413 ACCESSION NUMBER: 0001209191-23-049815 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230915 FILED AS OF DATE: 20230918 DATE AS OF CHANGE: 20230918 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Seyedkazemi Setareh CENTRAL INDEX KEY: 0001903088 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36579 FILM NUMBER: 231262163 MAIL ADDRESS: STREET 1: C/O ADVERUM BIOTECHNOLOGIES, INC. STREET 2: 100 CARDINAL 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: 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 X0508 4 2023-09-15 0 0001501756 Adverum Biotechnologies, Inc. ADVM 0001903088 Seyedkazemi Setareh C/O ADVERUM BIOTECHNOLOGIES, INC. 100 CARDINAL WAY REDWOOD CITY CA 94063 0 1 0 0 Chief Development Officer 0 Common Stock 2023-09-15 4 S 0 6071 1.52 D 47804 D Common Stock 2023-09-15 4 S 0 130 1.5486 D 47674 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 May 20, 2023 pursuant to the Issuer's 2014 Employee Stock Purchase Plan, as amended and restated. In Reporting Person's Form 4 filed on September 16, 2022, a portion of the footnote 1 disclosure reflected that "(a) 1/3 of the shares met a performance condition on September 14, 2022 (of which 50% of these shares vested immediately and 50% of these shares will vest in six months)." The second 50% of the shares actually vested on the one-year anniversary of September 14, 2022. All other information contained in the footnote is correct. Setareh Seyedkazemi, by /s/ Ron A. Metzger, Attorney-in-Fact 2023-09-18