SEC Form 4 · accession 0001181431-15-007558
Adverum Biotechnologies, Inc. · ADVM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Paul Wachter
Director
Period of report
May 26, 2015
Accepted (ET)
May 27, 2015 · 6:39 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,F3 | May 26, 2015 | S | 786 | $36.5173 | D | 41,143 | I | See Footnote |
| Common StockF4,F3 | May 26, 2015 | S | 304 | $37.5926 | D | 40,839 | I | See Footnote |
| Common StockF5,F3 | May 26, 2015 | S | 102 | $38.2968 | D | 40,737 | I | See Footnote |
| Common Stock | holding | — | — | — | 2,000 | 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 $36.020 to $37.020, 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 Wachter Family Trust.
- F4This transaction was executed in multiple trades in prices ranging from $37.025 to $38.020, 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 $38.050 to $38.620, 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.