0001209191-22-035927.txt : 20220610 0001209191-22-035927.hdr.sgml : 20220610 20220610163914 ACCESSION NUMBER: 0001209191-22-035927 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20220608 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: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36579 FILM NUMBER: 221009486 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 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2022-06-08 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 Stock Option (Right to Buy) 1.09 2022-06-08 4 A 0 250000 0.00 A 2032-06-07 Common Stock 250000 250000 D Twenty-five percent (25%) of the total number of shares subject to the option vest and become exercisable on the first anniversary of June 3, 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 June 3, 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