SEC Form 3 · accession 0001104659-16-121886
Adverum Biotechnologies, Inc. · ADVM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
Versant Ventures IV, LLC
10% Owner
Versant Venture Capital IV, L.P.
10% Owner
IV Luxco S.a r.l. Versant
10% Owner
Period of report
May 11, 2016
Accepted (ET)
May 18, 2016 · 4:52 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001501756
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | holding | — | — | — | 6,660,981 | I | Through Versant Capital IV (Switzerland) GmbH | |
| Common StockF2 | holding | — | — | — | 2,176 | I | Through Versant Side Fund IV, L.P. | |
| Common StockF3 | holding | — | — | — | 340,735 | I | Through Versant Venture Capital IV, L.P. |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The shares are owned directly by Versant Capital IV (Switzerland) GmbH ("Versant Switzerland"). Versant Switzerland is wholly owned by Versant IV Luxco S.a r.l. ("Versant Luxembourg") and Versant Luxembourg is majority owned by Versant Venture Capital IV, L.P. and minority owned by Versant Side Fund IV, L.P. (Versant Venture Capital IV, L.P. and Versant Side Fund IV, L.P., collectively, the "Versant Funds"). Versant Ventures IV, LLC ("Ventures IV") is the general partner of each of the Versant Funds. Each of Versant Switzerland, Versant Luxembourg, Versant Venture Capital IV, L.P. and Ventures IV may be deemed a beneficial owner of these shares, but each disclaims such beneficial ownership except to the extent of its pecuniary interest therein.
- F2The shares are owned directly by Versant Side Fund IV, L.P. Each of Versant Side Fund IV, L.P. and Ventures IV may be deemed a beneficial owner of these shares, but each disclaims such beneficial ownership except to the extent of its pecuniary interest therein.
- F3The shares are owned directly by Versant Venture Capital IV, L.P. Each of Versant Venture Capital IV, L.P. and Ventures IV may be deemed a beneficial owner of these shares, but each disclaims such beneficial ownership except to the extent of its pecuniary interest therein.