SEC Form 4 · accession 0001140361-15-015207
Adverum Biotechnologies, Inc. · ADVM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Steven Daniel Schwartz
Director
Period of report
Apr 9, 2015
Accepted (ET)
Apr 13, 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 9, 2015 | S | 17,050 | $39.7186 | D | 451,256 | D | |
| Common StockF3 | Apr 9, 2015 | S | 200 | $40.3779 | D | 451,056 | D |
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 $39.35 to $40.33, 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 $40.37 to $40.39, 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.