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

Page 4 of 8 – SEC Filing

Item 1(a). NAME OF ISSUER:
The name of the issuer is Adverum Biotechnologies, Inc. (the “Company“).
Item 1(b). ADDRESS OF ISSUER’S PRINCIPAL EXECUTIVE OFFICES:
The Company’s principal executive offices are located at 1035 O’Brien Drive, Menlo Park, CA 94025.
Item 2(a). NAME OF PERSON FILING:
Item 2(b). ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE, RESIDENCE:
Item 2(c). CITIZENSHIP:
This statement is filed by:
(i)

Highbridge Capital Management, LLC

40 West 57th Street, 32nd Floor

New York, New York 10019

Citizenship: State of Delaware

(ii)

1992 MSF International Ltd.

c/o Highbridge Capital Management, LLC

40 West 57th Street, 32nd Floor

New York, New York 10019

Citizenship: Cayman Islands

The foregoing persons are hereinafter sometimes collectively referred to as the “Reporting Persons.”
Item 2(d). TITLE OF CLASS OF SECURITIES:
Common Stock, par value $0.0001 per share (the “Common Stock“).
Item 2(e). CUSIP NUMBER:
00773U108
Item 3. IF THIS STATEMENT IS FILED PURSUANT TO RULES 13d-1(b) OR 13d-2(b) OR (c), CHECK WHETHER THE PERSON FILING IS A:
(a) ¨ Broker or dealer registered under Section 15 of the Act,
(b) ¨ Bank as defined in Section 3(a)(6) of the Act,
(c) ¨ Insurance Company as defined in Section 3(a)(19) of the Act,
(d) ¨ Investment Company registered under Section 8 of the Investment Company Act of 1940,

Follow Adverum Biotechnologies Inc. (NASDAQ:ADVM)