Statement of Changes in Beneficial Ownership (4)
11 December 2021 - 09:26AM
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
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Soparkar Peter |
2. Issuer Name and Ticker or Trading Symbol
Adverum Biotechnologies, Inc.
[
ADVM
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) See Remarks section |
(Last)
(First)
(Middle)
C/O ADVERUM BIOTECHNOLOGIES, INC., 800 SAGINAW DRIVE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
12/8/2021 |
(Street)
REDWOOD CITY, CA 94063
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 12/8/2021 | | P | | 25000 | A | $1.91 (1) | 258631 (2) | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. 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 Date | 7. 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) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
(1) | Price reported is a weighted-average purchase price. The shares were purchased at prices ranging from $1.895 to $1.92. 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 purchased at each separate price. |
(2) | Includes 1,015 shares and 1,923 shares purchased on November 20, 2020 and May 20, 2021, respectively, which were inadvertently not reflected as held on the Reporting Person's prior Forms 4, and 1 share purchased on November 22, 2021, in each case pursuant to the Issuer's 2014 Employee Stock Purchase Plan, as amended and restated. |
Remarks: Chief Operating Officer and Chief Legal Officer |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Soparkar Peter C/O ADVERUM BIOTECHNOLOGIES, INC. 800 SAGINAW DRIVE REDWOOD CITY, CA 94063 |
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| See Remarks section |
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Signatures
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Peter Soparkar, by /s/ Ron A. Metzger, Attorney-in-Fact | | 12/10/2021 |
**Signature of Reporting Person | Date |
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