SEC Form 4 · accession 0001140361-15-015526
Adverum Biotechnologies, Inc. · ADVM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Zygtech, LLC
10% Owner
Period of report
Apr 13, 2015
Accepted (ET)
Apr 15, 2015 · 5:25 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 13, 2015 | S | 12,274 | $39.0943 | D | 2,450,902 | D | |
| Common StockF3 | Apr 13, 2015 | S | 7,350 | $39.9438 | D | 2,443,552 | D | |
| Common StockF4 | Apr 13, 2015 | S | 776 | $40.6942 | D | 2,442,776 | D | |
| Common StockF5 | Apr 14, 2015 | S | 4,600 | $39.9268 | D | 2,438,176 | 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 $38.55 to $39.535, 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 $39.55 to $40.54, 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 $40.60 to $40.92, 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.
- F5This transaction was executed in multiple trades in prices ranging from $39.90 to $40.07, 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.