SEC Form 4 · accession 0001181431-15-006824
Adverum Biotechnologies, Inc. · ADVM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark S. Blumenkranz
Director
Period of report
May 11, 2015
Accepted (ET)
May 12, 2015 · 5:00 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 | May 11, 2015 | S | 1,785 | $34.9146 | D | 576,204 | D | |
| Common StockF3 | holding | — | — | — | 11,531 | I | See Footnote | |
| Common StockF4 | holding | — | — | — | 11,531 | I | See Footnote | |
| Common StockF5 | holding | — | — | — | 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 $34.90 to $34.98, 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.
- F3The shares are held directly by the Carla Helene Blumenkranz Irrevocable Trust.
- F4The shares are held directly by the Erik Davis Blumenkranz Irrevocable Trust.
- F5The shares are held directly by the Scott Aubrey Blumenkranz Irrevocable Trust.