0001209191-22-035925.txt : 20220610
0001209191-22-035925.hdr.sgml : 20220610
20220610163723
ACCESSION NUMBER: 0001209191-22-035925
CONFORMED SUBMISSION TYPE: 3
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20220603
FILED AS OF DATE: 20220610
DATE AS OF CHANGE: 20220610
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Rakow John
CENTRAL INDEX KEY: 0001933028
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36579
FILM NUMBER: 221009477
MAIL ADDRESS:
STREET 1: C/O ADVERUM BIOTECHNOLOGIES, INC.
STREET 2: 100 CARDINAL WAY
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
3
1
doc3.xml
FORM 3 SUBMISSION
X0206
3
2022-06-03
0
0001501756
Adverum Biotechnologies, Inc.
ADVM
0001933028
Rakow John
C/O ADVERUM BIOTECHNOLOGIES, INC.
100 CARDINAL WAY
REDWOOD CITY
CA
94063
0
1
0
0
SVP, Genl Counsel, Acting CFO
Common Stock
58233
D
Stock Option (Right to Buy)
11.72
2030-01-16
Common Stock
125000
D
Stock Option (Right to Buy)
13.44
2031-02-15
Common Stock
15538
D
Stock Option (Right to Buy)
3.09
2031-07-15
Common Stock
50000
D
Stock Option (Right to Buy)
1.84
2031-12-01
Common Stock
100000
D
Stock Option (Right to Buy)
1.39
2032-02-24
Common Stock
75000
D
Twenty-five percent (25%) of the total number of shares subject to the option vest and become exercisable on the first anniversary of September 9, 2019, and 1/48 of the total number of shares subject to the option vest and become exercisable each month thereafter, such that all of the shares subject to the option shall become vested and exercisable as of the fourth anniversary of September 9, 2019, subject to the Reporting Person's continued service with the Issuer on each such vesting date.
Twenty-five percent (25%) of the total number of shares subject to the option vest and become exercisable on the first anniversary of February 16, 2021, and 1/48 of the total number of shares subject to the option vest and become exercisable each month thereafter, such that all of the shares subject to the option shall become vested and exercisable as of the fourth anniversary of February 16, 2021 subject to the Reporting Person's continued service with the Issuer on each such vesting date.
Twenty-five percent (25%) of the total number of shares subject to the option vest and become exercisable on the first anniversary of July 15, 2021, and 1/48 of the total number of shares subject to the option vest and become exercisable each month thereafter, such that all of the shares subject to the option shall become vested and exercisable as of the fourth anniversary of July 15, 2021 subject to the Reporting Person's continued service with the Issuer on each such vesting date.
Twenty-five percent (25%) of the total number of shares subject to the option vest and become exercisable on the first anniversary of December 2, 2021, and 1/48 of the total number of shares subject to the option vest and become exercisable each month thereafter, such that all of the shares subject to the option shall become vested and exercisable as of the fourth anniversary of December 2, 2021 subject to the Reporting Person's continued service with the Issuer on each such vesting date.
Twenty-five percent (25%) of the total number of shares subject to the option vest and become exercisable on the first anniversary of February 18, 2022, and 1/48 of the total number of shares subject to the option vest and become exercisable each month thereafter, such that all of the shares subject to the option shall become vested and exercisable as of the fourth anniversary of February 18, 2022 subject to the Reporting Person's continued service with the Issuer on each such vesting date.
John Rakow, by /s/ Ron A. Metzger, Attorney-in-Fact
2022-06-10
EX-24
2
poa.txt
POA DOCUMENT
POWER OF ATTORNEY
Know all by these presents, that the undersigned hereby constitutes and appoints
each of (i) the Chief Executive Officer and President of Adverum
Biotechnologies, Inc., a Delaware corporation (the "Company"), who is currently
Laurent Fischer, (ii) the Chief Legal Officer of the Company, who is currently
Peter Soparkar, (iii) Joleen Morgan of the Company, and (iv) Ron A. Metzger of
Cooley LLP,
and their respective successors, signing singly, with full power of
substitution, as the undersigned's true and lawful attorney-in-fact to:
(1) execute for and on behalf of the undersigned, in the undersigned's capacity
as an officer and/or director of the Company, Forms 3, 4 and 5 (including
amendments thereto) in accordance with Section 16(a) of the Securities Exchange
Act of 1934 and the rules and regulations thereunder;
(2) do and perform any and all acts for and on behalf of the undersigned which
may be necessary or desirable to complete and execute any such Forms 3, 4 or 5
and timely file such forms (including amendments thereto) and application with
the United States Securities and Exchange Commission and any stock exchange or
similar authority; and
(3) take any other action of any type whatsoever in connection with the
foregoing which, in the opinion of such attorney-in-fact, may be of benefit to,
in the best interest of, or legally required by, the undersigned, it being
understood that the documents executed by such attorney-in-fact on behalf of the
undersigned pursuant to this Power of Attorney shall be in such form and shall
contain such terms and conditions as such attorney-in-fact may approve in such
attorney-in-fact's discretion.
The undersigned hereby grants to each such attorney-in-fact full power and
authority to do and perform any and every act and thing whatsoever requisite,
necessary or proper to be done in the exercise of any of the rights and powers
herein granted, as fully to all intents and purposes as the undersigned might or
could do if personally present, with full power of substitution or revocation,
hereby ratifying and confirming all that such attorney-in-fact, or such
attorney-in-fact's substitute or substitutes, shall lawfully do or cause to be
done by virtue of this power of attorney and the rights and powers herein
granted. The undersigned acknowledges that the foregoing attorneys-in-fact, in
serving in such capacity at the request of the undersigned, are not assuming,
nor is the Company assuming, any of the undersigned's responsibilities to comply
with Section 16 of the Securities Exchange Act of 1934.
The undersigned agrees that each such attorney-in-fact herein may rely entirely
on information furnished orally or in writing by the undersigned to such
attorney-in-fact. The undersigned also agrees to indemnify and hold harmless
the Company and each such attorney-in-fact against any losses, claims, damages
or liabilities (or actions in these respects) that arise out of or are based
upon any untrue statements or omission of necessary facts in the information
provided by the undersigned to such attorney-in fact for purposes of executing,
acknowledging, delivering or filing Forms 3, 4 or 5 (including amendments
thereto) and agrees to reimburse the Company and such attorney-in-fact for any
legal or other expenses reasonably incurred in connection with investigating or
defending against any such loss, claim, damage, liability or action.
This Power of Attorney shall remain in full force and effect until the
undersigned is no longer required to file Forms 3, 4 or 5 with respect to the
undersigned's holdings of and transactions in securities issued by the Company,
unless earlier (a) revoked by the undersigned in a signed writing delivered to
the foregoing attorneys-in-fact or (b) superseded by a new power of attorney
regarding the purposes outlined in the first paragraph hereof dated as of a
later date.
IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to be
executed as of this 3rd day of June, 2022.
/s/ John Rakow