0001415889-24-007714.txt : 20240312 0001415889-24-007714.hdr.sgml : 20240312 20240312190622 ACCESSION NUMBER: 0001415889-24-007714 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20231003 FILED AS OF DATE: 20240312 DATE AS OF CHANGE: 20240312 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Soparkar Peter CENTRAL INDEX KEY: 0001736315 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36579 FILM NUMBER: 24743983 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] ORGANIZATION NAME: 03 Life Sciences 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 form4-03122024_110316.xml X0508 4 2023-10-03 0001501756 Adverum Biotechnologies, Inc. ADVM 0001736315 Soparkar Peter C/O ADVERUM BIOTECHNOLOGIES, INC. 100 CARDINAL WAY REDWOOD CITY CA 94063 false true false false CHIEF OPERATING OFFICER 0 Stock Option (Right to Buy) 1.29 2023-10-03 4 A 0 130000 0 A 2032-03-07 Common Stock 130000 130000 D Reflects the meeting of the performance condition of performance stock options previously granted to the Reporting Person, pursuant to which 1/24 of the total number of shares subject to the option vest and become exercisable each month following the date upon which the first cohort of patients in the LUNA trial were fully dosed (the "Vesting Commencement Date"), such that all of the shares shall be vested and exercisable as of the second anniversary of the Vesting Commencement Date, subject to the Reporting Person's continued service with the Issuer on each such vesting date. On October 3, 2023, the Issuer's Compensation Committee certified that the Vesting Commencement Date occurred on August 16, 2023. /s/ John Rakow, Attorney-in-Fact 2024-03-12