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
- 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.
- Shares sold pursuant to a 10b5-1 plan.
- 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.
- 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.
- 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.
- 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.
- Fully vested and exercisable.
Billionaire Hedge Funds
