13G Filing: Highbridge Capital Management and Adverum Biotechnologies Inc. (ADVM)

1

NAMES OF REPORTING PERSONS

Highbridge Capital Management, LLC

2

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(a) ¨

(b) ¨

3

SEC USE ONLY

4

CITIZENSHIP OR PLACE OF ORGANIZATION

State of Delaware

NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH

5

SOLE VOTING POWER

0

6

SHARED VOTING POWER

2,500,000 shares of Common Stock (including 200,000
shares of Common Stock issuable upon exercise of call options)

7

SOLE DISPOSITIVE POWER

0

8

SHARED DISPOSITIVE POWER

2,500,000 shares of Common Stock (including 200,000
shares of Common Stock issuable upon exercise of call options)

9

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

2,500,000 shares of Common Stock (including 200,000
shares of Common Stock issuable upon exercise of call options)

10

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES

¨

11

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

5.55%

12

TYPE OF REPORTING PERSON

IA, OO

Page 2 of 8 – SEC Filing

1	NAMES OF REPORTING PERSONS Highbridge Capital Management, LLC
2	CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP		(a) ¨ (b) ¨
3	SEC USE ONLY
4	CITIZENSHIP OR PLACE OF ORGANIZATION State of Delaware
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH	5	SOLE VOTING POWER 0
	6	SHARED VOTING POWER 2,500,000 shares of Common Stock (including 200,000 shares of Common Stock issuable upon exercise of call options)
	7	SOLE DISPOSITIVE POWER 0
	8	SHARED DISPOSITIVE POWER 2,500,000 shares of Common Stock (including 200,000 shares of Common Stock issuable upon exercise of call options)
9	AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 2,500,000 shares of Common Stock (including 200,000 shares of Common Stock issuable upon exercise of call options)
10	CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES			¨
11	PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 5.55%
12	TYPE OF REPORTING PERSON IA, OO