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ADVM Adverum Biotechnologies Inc

10.335
-0.325 (-3.05%)
Last Updated: 17:54:45
Delayed by 15 minutes
Share Name Share Symbol Market Type
Adverum Biotechnologies Inc NASDAQ:ADVM NASDAQ Common Stock
  Price Change % Change Share Price Bid Price Offer Price High Price Low Price Open Price Shares Traded Last Trade
  -0.325 -3.05% 10.335 10.30 10.39 10.84 10.335 10.63 91,143 17:54:45

Statement of Changes in Beneficial Ownership (4)

10/02/2020 12:53pm

Edgar (US Regulatory)


FORM 4 [ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).         
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
                                                                                  
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response...
0.5                       
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
                      

1. Name and Address of Reporting Person *

Gasmi Mehdi
2. Issuer Name and Ticker or Trading Symbol

Adverum Biotechnologies, Inc. [ ADVM ]
5. Relationship of Reporting Person(s) to Issuer (Check all applicable)

__X__ Director                    _____ 10% Owner
_____ Officer (give title below)    _____ Other (specify below)
(Last)          (First)          (Middle)

C/O ADVERUM BIOTECHNOLOGIES, INC., 1035 O'BRIEN DRIVE
3. Date of Earliest Transaction (MM/DD/YYYY)

2/12/2017
(Street)

MENLO PARK, CA 94025
(City)        (State)        (Zip)
4. If Amendment, Date Original Filed (MM/DD/YYYY)

 
6. Individual or Joint/Group Filing (Check Applicable Line)

_X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Trans. Date 2A. Deemed Execution Date, if any 3. Trans. Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 2/12/2017  F  12793 (1)D$3.00 276742 (2)D  
Common Stock 4/21/2017  F  657 (1)D$2.70 276085 (2)D  
Common Stock 8/21/2017  F  5479 (1)D$2.50 270606 (2)D  
Common Stock 2/9/2018  F  11433 (1)D$7.05 259173 (2)D  
Common Stock 2/12/2018  F  10806 (1)D$6.85 248367 (2)D  
Common Stock 4/21/2018  F  605 (1)D$6.30 247762 (2)D  
Common Stock 2/9/2019  F  12599 (1)D$3.33 332659 (2)D  
Common Stock 2/12/2019  F  10652 (1)D$3.55 322007 (2)D  
Common Stock 4/21/2019  F  589 (1)D$5.98 321418 (2)D  

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security3. Trans. Date3A. Deemed Execution Date, if any4. Trans. Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
6. Date Exercisable and Expiration Date7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)11. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares

Explanation of Responses:
(1) Constitutes shares withheld to cover withholding tax obligations.
(2) Does not tie to prior filings as the prior filings did not take into account this transaction. The Form 4 for the latest transaction by the undersigned will be amended to reflect the then current ownership following the transaction reported on that latest filing.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director10% OwnerOfficerOther
Gasmi Mehdi
C/O ADVERUM BIOTECHNOLOGIES, INC.
1035 O'BRIEN DRIVE
MENLO PARK, CA 94025
X



Signatures
Mehdi Gasmi by /s/ Thomas Leung, Attorney-in-Fact.2/10/2020
**Signature of Reporting PersonDate

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