0001209191-23-036820.txt : 20230613 0001209191-23-036820.hdr.sgml : 20230613 20230613171737 ACCESSION NUMBER: 0001209191-23-036820 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230609 FILED AS OF DATE: 20230613 DATE AS OF CHANGE: 20230613 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Scopa James Paul CENTRAL INDEX KEY: 0001356950 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36579 FILM NUMBER: 231012182 MAIL ADDRESS: STREET 1: 601 GATEWAY BOULEVARD STREET 2: SUITE 350 CITY: SOUTH SAN FRANCISCO STATE: CA ZIP: 94080 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 X0407 4 2023-06-09 0 0001501756 Adverum Biotechnologies, Inc. ADVM 0001356950 Scopa James Paul C/O ADVERUM BIOTECHNOLOGIES, INC. 100 CARDINAL WAY REDWOOD CITY CA 94063 1 0 0 0 0 Stock Option (Right to Buy) 1.56 2023-06-09 4 A 0 40000 0.00 A 2033-06-08 Common Stock 40000 40000 D The shares subject to the option will vest on the earlier of June 9, 2024 or the 2024 annual meeting of stockholders, subject to (1) accelerated vesting upon a change of control and (2) the Reporting Person's continued service with the Issuer on the vesting date. James Paul Scopa, by /s/ Ron A. Metzger, Attorney-in-Fact 2023-06-13