SEC Form 4 · accession 0001140361-15-001931
Adverum Biotechnologies, Inc. · ADVM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas W. Chalberg
Officer — Chief Executive Officer · Director
Period of report
Jan 13, 2015
Accepted (ET)
Jan 15, 2015 · 4:58 pm EST
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 Stock | Jan 13, 2015 | S | 85,000 | $55.46 | D | 285,988 | D | |
| Common StockF1 | holding | — | — | — | 420,000 | I | See Footnote | |
| Common StockF2 | holding | — | — | — | 420,000 | I | See Footnote | |
| Common StockF3 | holding | — | — | — | 413 | I | See Footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The shares are held directly by Thomas W. Chalberg, as Trustee of the Thomas W. Chalberg 2014 Grantor Retained Annuity Trust under agreement dated April 30, 2014.
- F2The shares are held directly by the Stefanie R. Chalberg 2014 Grantor Retained Annuity Trust under agreement Dated April 30, 2014.
- F3The shares are held directly by the 2009 Chalberg Family Trust, Thomas W. Chalberg, Jr. and Stefanie Raue Chalberg, Trustees