SEC Form 4 · accession 0001140361-15-016254
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 21, 2015
Accepted (ET)
Apr 23, 2015 · 4:56 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 | Apr 21, 2015 | A | 2,000 | $0.00 | A | 597,989 | D | |
| Common StockF2 | holding | — | — | — | 11,531 | I | See Footnote | |
| Common StockF3 | holding | — | — | — | 11,531 | I | See Footnote | |
| Common StockF4 | holding | — | — | — | 11,531 | I | See Footnote |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy) | $39.35 | Apr 21, 2015 | A | 7,000 | A | Jun 26, 2016 | Apr 20, 2025 | Common Stock | 7,000 | 7,000 | D |
Explanation of responses
- F1Restricted Stock Units ("RSUs"). The Reporting Person is entitled to receive one (1) share of Common Stock of the Issuer for each one (1) RSU upon the vesting thereof. Such RSUs vest with respect to 100% of the shares subject thereto on June 26, 2016.
- F2The shares are held directly by the Carla Helene Blumenkranz Irrevocable Trust.
- F3The shares are held directly by the Erik Davis Blumenkranz Irrevocable Trust.
- F4The shares are held directly by the Scott Aubrey Blumenkranz Irrevocable Trust.