SEC Form 4 · accession 0001209191-16-099435
Adverum Biotechnologies, Inc. · ADVM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Steven Daniel Schwartz
Director
Period of report
Feb 12, 2016
Accepted (ET)
Feb 17, 2016 · 5:40 pm EST
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 | Feb 12, 2016 | A | 8,333 | $0.00 | A | 376,264 | 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) | $4.80 | Feb 12, 2016 | A | 11,905 | A | Feb 12, 2017 | Feb 11, 2026 | Common Stock | 11,905 | 11,905 | 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 February 12, 2017.