Filing Details
- Accession Number:
- 0001209191-20-011155
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2020-02-20 16:51:04
- Reporting Period:
- 2020-02-18
- Accepted Time:
- 2020-02-20 16:51:04
- 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. 1035 O'Brien Drive Menlo Park CA 94025 | 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 | 2020-02-18 | 5,000 | $4.80 | 263,979 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2020-02-18 | 5,000 | $16.23 | 258,979 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | 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) | Acquisiton | 2020-02-18 | 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 |
|---|---|---|---|---|---|---|
| 173,000 | 2026-02-11 | No | 4 | M | Direct |
Footnotes
- Shares sold pursuant to a 10b5-1 plan.
- Price reported is a weighted-average sales price. The shares were sold at prices ranging from $15.70 to $16.45. 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.
- Twenty-five percent (25%) of the total number of shares subject to the option vest and become exercisable on the first anniversary of the Vesting Commencement Date, and 1/48th of the total number of shares subject to the option vest and become exercisable each month thereafter, such that all of the shares subject to the option shall become vested and exercisable as of the fourth anniversary of the Vesting Commencement Date, subject to the Reporting Person's continued service with the Issuer on each such vesting date.
Billionaire Hedge Funds
