SEC Form 4 · accession 0001209191-15-046353
Adverum Biotechnologies, Inc. · ADVM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Steven Daniel Schwartz
Director
Period of report
May 22, 2015
Accepted (ET)
May 22, 2015 · 7:21 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 22, 2015 | S | 11,679 | $38.1577 | D | 407,252 | D | |
| Common StockF3 | May 22, 2015 | S | 5,196 | $38.8843 | D | 402,056 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Transaction made pursuant to a 10b51 trading plan adopted by the Reporting Person.
- F2This transaction was executed in multiple trades in prices ranging from $37.675 to $38.660, 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 $38.680 to $39.220, 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.