SEC Form 4 · accession 0001140361-15-014742
Adverum Biotechnologies, Inc. · ADVM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark S. Blumenkranz
Director
Period of report
Apr 7, 2015
Accepted (ET)
Apr 8, 2015 · 4:47 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 StockF2 | Apr 7, 2015 | S | 21,774 | $38.5874 | D | 624,215 | D | |
| Common StockF3 | Apr 7, 2015 | S | 726 | $39.0603 | D | 623,489 | D | |
| Common StockF4 | Apr 8, 2015 | S | 2,500 | $39.9363 | D | 620,989 | D | |
| Common StockF2,F5 | Apr 7, 2015 | S | 968 | $38.5875 | D | 11,563 | I | See Footnote |
| Common StockF3,F5 | Apr 7, 2015 | S | 32 | $39.0608 | D | 11,531 | I | See Footnote |
| Common StockF2,F6 | Apr 7, 2015 | S | 968 | $38.5875 | D | 11,563 | I | See Footnote |
| Common StockF3,F6 | Apr 7, 2015 | S | 32 | $39.0608 | D | 11,531 | I | See Footnote |
| Common StockF2,F7 | Apr 7, 2015 | S | 968 | $38.5875 | D | 11,563 | I | See Footnote |
| Common StockF3,F7 | Apr 7, 2015 | S | 32 | $39.0608 | D | 11,531 | I | See Footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person.
- F2This transaction was executed in multiple trades in prices ranging from $38.02 to $39.00, inclusive. The price reported in Column 4 above reflects the weighted average sales price. The Reporting Person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote.
- F3This transaction was executed in multiple trades in prices ranging from $39.025 to $39.16, inclusive. The price reported in Column 4 above reflects the weighted average sales price. The Reporting Person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote.
- F4This transaction was executed in multiple trades in prices ranging from $39.90 to $40.05, inclusive. The price reported in Column 4 above reflects the weighted average sales price. The Reporting Person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote.
- F5The shares are held directly by the Carla Helene Blumenkranz Irrevocable Trust.
- F6The shares are held directly by the Erik Davis Blumenkranz Irrevocable Trust.
- F7The shares are held directly by the Scott Aubrey Blumenkranz Irrevocable Trust.