0001209191-23-048141.txt : 20230905 0001209191-23-048141.hdr.sgml : 20230905 20230905161439 ACCESSION NUMBER: 0001209191-23-048141 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230803 FILED AS OF DATE: 20230905 DATE AS OF CHANGE: 20230905 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Rubinstein Linda M CENTRAL INDEX KEY: 0001321937 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36579 FILM NUMBER: 231235901 MAIL ADDRESS: STREET 1: 25861 INDUSTRIAL BLVD CITY: HAYWARD STATE: CA ZIP: 94545 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 2023-08-03 0 0001501756 Adverum Biotechnologies, Inc. ADVM 0001321937 Rubinstein Linda M C/O ADVERUM BIOTECHNOLOGIES, INC. 100 CARDINAL WAY REDWOOD CITY CA 94063 0 1 0 0 Chief Financial Officer 0 Stock Option (Right to Buy) 2.10 2023-08-03 4 A 0 850000 0.00 A 2033-08-02 Common Stock 850000 850000 D Non-Statutory Stock Option to purchase 850,000 shares granted under the Issuer's 2014 Equity Incentive Plan (the "Plan"), 25% vesting 6 months from the Reporting Person's first day of employment with the Issuer, and 17,708.33 shares vesting monthly thereafter for the next 36 months, subject to the Reporting Person's continued service with the Issuer on each such vesting date. Linda Rubinstein, by /s/ Ron A. Metzger, Attorney-in-Fact 2023-09-05