Form Type: 4

SEC EDGAR Link
Accession Number:0001209191-19-061950
Date:2019-12-23
Issuer: ADVERUM BIOTECHNOLOGIES, INC. (ADVM)
Original Submission Date:

Reporting Person:

PATTERSON LEONE D
C/O ADVERUM BIOTECHNOLOGIES, INC.
1035 O'BRIEN DRIVE MENLO PARK, CA 94025

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK 2019-12-23 S 40,000 d $10.72 228,496 direct
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
Footnotes
IDfootnote
f1 this transaction was pursuant to a 10b5-1 plan.
f2 represents weighted average sales price. the shares were sold at prices ranging from $10.30 to $11.055. 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.
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