0001209191-23-054582.txt : 20231106 0001209191-23-054582.hdr.sgml : 20231106 20231106195440 ACCESSION NUMBER: 0001209191-23-054582 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20231103 FILED AS OF DATE: 20231106 DATE AS OF CHANGE: 20231106 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Nicholson, C. David CENTRAL INDEX KEY: 0001636168 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36579 FILM NUMBER: 231381225 MAIL ADDRESS: STREET 1: 103 CHILDS ROAD CITY: BASKIN RIDGE STATE: NJ ZIP: 07092 FORMER NAME: FORMER CONFORMED NAME: Nicholson, David C. DATE OF NAME CHANGE: 20150310 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 2023-11-03 0 0001501756 Adverum Biotechnologies, Inc. ADVM 0001636168 Nicholson, C. David C/O ADVERUM BIOTECHNOLOGIES, INC. 100 CARDINAL WAY REDWOOD CITY CA 94063 1 0 0 0 0 Stock Option (Right to Buy) 0.9312 2023-11-03 4 A 0 80000 0.00 A 2033-11-02 Common Stock 80000 80000 D 1/3 of the total number of shares subject to the option vest and become exercisable on each anniversary of November 3, 2023 (the "Vesting Commencement Date"), such that all of the shares subject to the option shall become vested and exercisable as of the third anniversary of the Vesting Commencement Date, subject to the Reporting Person's continued service with the Issuer on each such vesting date. C. David Nicholson, by /s/ Ron A. Metzger, Attorney-in-Fact 2023-11-06