SEC Form 3
FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person*
Versant Ventures IV, LLC

(Last) (First) (Middle)
ONE SANSOME STREET
SUITE 3630

(Street)
SAN FRANCISCO CA 94104

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
05/11/2016
3. Issuer Name and Ticker or Trading Symbol
Adverum Biotechnologies, Inc. [ ADVM ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director X 10% Owner
Officer (give title below) Other (specify below)
5. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
Form filed by One Reporting Person
X Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4) 2. Amount of Securities Beneficially Owned (Instr. 4) 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock 6,660,981 I Through Versant Capital IV (Switzerland) GmbH(1)
Common Stock 2,176 I Through Versant Side Fund IV, L.P.(2)
Common Stock 340,735 I Through Versant Venture Capital IV, L.P.(3)
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4) 2. Date Exercisable and Expiration Date (Month/Day/Year) 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) 4. Conversion or Exercise Price of Derivative Security 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 6. Nature of Indirect Beneficial Ownership (Instr. 5)
Date Exercisable Expiration Date Title Amount or Number of Shares
1. Name and Address of Reporting Person*
Versant Ventures IV, LLC

(Last) (First) (Middle)
ONE SANSOME STREET
SUITE 3630

(Street)
SAN FRANCISCO CA 94104

(City) (State) (Zip)

Relationship of Reporting Person(s) to Issuer
Director X 10% Owner
Officer (give title below) Other (specify below)
1. Name and Address of Reporting Person*
Versant Venture Capital IV, L.P.

(Last) (First) (Middle)
ONE SANSOME STREET
SUITE 3630

(Street)
SAN FRANCISCO CA 94104

(City) (State) (Zip)

Relationship of Reporting Person(s) to Issuer
Director X 10% Owner
Officer (give title below) Other (specify below)
1. Name and Address of Reporting Person*
Versant IV Luxco S.a r.l.

(Last) (First) (Middle)
5, RUE GUILLAUME KROLL

(Street)
LUXEMBOURG N4 L-1882

(City) (State) (Zip)

Relationship of Reporting Person(s) to Issuer
Director X 10% Owner
Officer (give title below) Other (specify below)
1. Name and Address of Reporting Person*
Versant Capital IV (Switzerland) GmbH

(Last) (First) (Middle)
AESCHENVORSTADT 36

(Street)
BASEL V8 4051

(City) (State) (Zip)

Relationship of Reporting Person(s) to Issuer
Director X 10% Owner
Officer (give title below) Other (specify below)
Explanation of Responses:
1. The shares are owned directly by Versant Capital IV (Switzerland) GmbH ("Versant Switzerland"). Versant Switzerland is wholly owned by Versant IV Luxco S.a r.l. ("Versant Luxembourg") and Versant Luxembourg is majority owned by Versant Venture Capital IV, L.P. and minority owned by Versant Side Fund IV, L.P. (Versant Venture Capital IV, L.P. and Versant Side Fund IV, L.P., collectively, the "Versant Funds"). Versant Ventures IV, LLC ("Ventures IV") is the general partner of each of the Versant Funds. Each of Versant Switzerland, Versant Luxembourg, Versant Venture Capital IV, L.P. and Ventures IV may be deemed a beneficial owner of these shares, but each disclaims such beneficial ownership except to the extent of its pecuniary interest therein.
2. The shares are owned directly by Versant Side Fund IV, L.P. Each of Versant Side Fund IV, L.P. and Ventures IV may be deemed a beneficial owner of these shares, but each disclaims such beneficial ownership except to the extent of its pecuniary interest therein.
3. The shares are owned directly by Versant Venture Capital IV, L.P. Each of Versant Venture Capital IV, L.P. and Ventures IV may be deemed a beneficial owner of these shares, but each disclaims such beneficial ownership except to the extent of its pecuniary interest therein.
Versant Ventures IV, LLC By: Robin L. Praeger Its: Managing Director /s/ Robin L. Praeger 05/18/2016
Versant Venture Capital IV, L.P. By: Versant Ventures IV, LLC Its: General Partner By: Robin L. Praeger Its: Managing Director /s/ Robin L. Praeger 05/18/2016
Versant IV Luxco S.a r.l. By: Robin L. Praeger Its: Director /s/ Robin L. Praeger 05/18/2016
Versant Capital IV (Switzerland) GmbH By: Robin L. Praeger Its: Director /s/ Robin L. Praeger 05/18/2016
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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