SEC Form 4 · accession 0001209191-15-053958
Adverum Biotechnologies, Inc. · ADVM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Hans Hull
Officer — SVP, Business Operations
Period of report
Jun 12, 2015
Accepted (ET)
Jun 16, 2015 · 6:25 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 Stock | Jun 12, 2015 | M | 8,300 | $0.19 | A | 19,620 | D |
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)F1 | $0.19 | Jun 12, 2015 | M | 8,300 | D | — | Feb 23, 2022 | Common Stock | 8,300 | 12,200 | D |
Explanation of responses
- F1The shares subject to the option vest and become exercisable in 48 successive, equal monthly installments on each monthly anniversary of February 1, 2012, subject to the Reporting Person's continued employment or service relationship with the Issuer on each such vesting date.