Filing Details

Accession Number:
0001209191-20-031047
Form Type:
4
Zero Holdings:
No
Publication Time:
2020-05-20 19:34:23
Reporting Period:
2020-05-05
Accepted Time:
2020-05-20 19:34:23
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1501756 Adverum Biotechnologies Inc. ADVM Biological Products, (No Disgnostic Substances) (2836) 205258327
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1614875 Mehdi Gasmi C/O Adverum Biotechnologies, Inc.
800 Saginaw Drive
Redwood City CA 94063
Yes No No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2020-05-05 10,000 $4.80 284,442 No 4 M Direct
Common Stock Disposition 2020-05-05 10,000 $16.26 274,442 No 4 S Direct
Common Stock Acquisiton 2020-05-06 25,000 $4.80 299,442 No 4 M Direct
Common Stock Disposition 2020-05-06 25,000 $20.03 274,442 No 4 S Direct
Common Stock Acquisiton 2020-05-18 5,000 $4.80 279,442 No 4 M Direct
Common Stock Disposition 2020-05-18 4,700 $18.11 274,742 No 4 S Direct
Common Stock Disposition 2020-05-18 300 $19.03 274,442 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 S Direct
No 4 M Direct
No 4 S Direct
No 4 M Direct
No 4 S Direct
No 4 S Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Stock Option (Right to Buy) Disposition 2020-05-05 10,000 $0.00 10,000 $4.80
Common Stock Stock Option (Right to Buy) Disposition 2020-05-06 25,000 $0.00 25,000 $4.80
Common Stock Stock Option (Right to Buy) Disposition 2020-05-18 5,000 $0.00 5,000 $4.80
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
163,000 2026-02-11 No 4 M Direct
138,000 2026-02-11 No 4 M Direct
133,000 2026-02-11 No 4 M Direct
Footnotes
  1. The balance of shares reflected in Reporting Person's prior Form 4 was inadvertently reflected as 258,979 shares and should have been reflected as 274,298 shares. The Form 4 originally reflecting the incorrect balance, filed with the SEC on 2/14/2020, has been amended to reflect the correct end of period balance in Column 5 of Table I in that filing.
  2. Shares sold pursuant to a 10b5-1 plan.
  3. Price reported is a weighted-average sales price. The shares were sold at prices ranging from $16.15 to $16.39. The reporting person will provide upon request to the SEC, the Issuer or security holder of the Issuer, full information regarding the number of shares sold at each separate price.
  4. Price reported is a weighted-average sales price. The shares were sold at prices ranging from $20.00 to $20.13. The reporting person will provide upon request to the SEC, the Issuer or security holder of the Issuer, full information regarding the number of shares sold at each separate price.
  5. Price reported is a weighted-average sales price. The shares were sold at prices ranging from $17.63 to $18.54. The reporting person will provide upon request to the SEC, the Issuer or security holder of the Issuer, full information regarding the number of shares sold at each separate price.
  6. Price reported is a weighted-average sales price. The shares were sold at prices ranging from $18.93 to $19.14. The reporting person will provide upon request to the SEC, the Issuer or security holder of the Issuer, full information regarding the number of shares sold at each separate price.
  7. Fully vested and exercisable.