Form Type: 4

SEC EDGAR Link
Accession Number:0001209191-20-038963
Date:2020-06-23
Issuer: ADVERUM BIOTECHNOLOGIES, INC. (ADVM)
Original Submission Date:

Reporting Person:

SCOPA JAMES PAUL
C/O ADVERUM BIOTECHNOLOGIES, INC.
800 SAGINAW DRIVE REDWOOD CITY, CA 94063

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
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
STOCK OPTION (RIGHT TO BUY) 25.64 2020-06-23 deemed execution date A 30,000 (a) 2030-06-22 common stock 30,000 $25.64 30,000 direct
Footnotes
IDfootnote
f1 the shares subject to the option will vest on the earlier of june 23, 2021 or the 2021 annual meeting of stockholders, subject to (1) accelerated vesting upon a change of control and (2) the reporting person's continued service with the issuer on the vesting date.
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