ADVM 13F Hedge Fund and Asset Management Owners

Data as of 2021-04-11 07:45:01 -0400
Market Cap	887.989 Million	Shares Outstanding	97.796 Million	Avg 30-day Volume	867.372 Thousand
P/E Ratio		Dividend Yield		EPS
Price/Sales		Debt to Equity		EBITDA
Price to Book Value	0.0	Forward PE	-5.39	Enterprise Value
Total Cash		Current Debt		Gross Profit
BETA	1.79065	52-week High/Low	26.98 / 8.98	Next Earnings Date	2021-05-05	Price to Cash FLow (P/CF)	-9999999.0
				Data provided by IEX Cloud

Q4 2020	All 13F Filers	Prior	Change	Hedge Funds ¹	Prior	Change
In top 10:	5	4	25.0%	0 (0.0%)	1 (0.06%)	-100.0%
Funds Holding:	152	158	-3.8%	51 (3.06%)	56 (3.49%)	-8.93%
13F shares:	94.267 Million	94.949 Million	-0.72%	49.845 Million	50.206 Million	-0.72%
% Ownership	96.7061	97.4064	-0.72%	51.1346	51.505	-0.72%
New Positions:	24	33	-27.27%	10	17	-41.18%
Increased Positions	52	66	-21.21%	17	25	-32.0%
Closed Positions	28	16	75.0%	15	10	50.0%
Reduced Positions	50	38	31.58%	18	11	63.64%
Total Calls	706.79 Thousand	661.965 Thousand	6.77%	390.3 Thousand	467.7 Thousand	-16.55%
Total Puts	1.08 Million	414.556 Thousand	160.47%	686.3 Thousand	332.086 Thousand	106.66%
PUT/CALL Ratio	1.53	0.63	142.86%	1.76	0.71	147.89%
¹ hedge funds and active managers as identified by whalewisdom.com through public filings.

Funds Holding ADVM (via 13F filings)

Quarter to view: Refresh Download CSV Download Excel (.xlsx) Download TSV

Market Value:

Ranking:

% of portfolio

*Shares are split adjusted
*Please note that if a filer hasn't submitted a 13F filing for a quarter then the filer's shares will be listed as "Sold All"

Mutual Funds Holding ADVM BETA

Active Schedule 13D and 13G filings

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Open Market Buys/Sells Last 60 Days

Open Market Buys (P)

40 Thousand total shares from 3 transactions

Open Market Sells (S)

none

Exercise Derivative Conversion (M)

none

Current/Former Insiders

Insider Name	Type	Last Reported Shares Held	Last Reported Date	Filings in past year
SVORONOS DAWN	Director	20,000	2021-03-31	3
MACHADO PATRICK	Director	88,182	2021-03-24	3
FISCHER LAURENT CEO AND DIRECTOR	Officer Director	26,292	2021-03-24	6
TUCKSON REED VAUGHN	Director	45,000	2021-02-19	2
PATTERSON LEONE D PRESIDENT AND CFO	Officer	0	2021-02-16	4
OSBORNE AARON CHIEF MEDICAL OFFICER	Officer	0	2021-02-16	1
SOPARKAR PETER CHIEF LEGAL OFFICER	Officer	0	2021-02-16	2
THEDINGA ANGELA CHIEF TECHNOLOGY OFFICER	Officer	0	2021-02-16	1
WOIWODE THOMAS	Director	18,822	2020-12-14	2
GASMI MEHDI	Director	274,442	2020-07-20	7
CARTER ERIC G	Director	0	2020-06-23	1
HEMRAJANI REKHA	Director	0	2020-06-23	1
SCOPA JAMES PAUL	Director	0	2020-06-23	2
LUPHER, JR. MARK L.	Director	0	2020-06-23	1
WHITCUP SCOTT M	Director	0	2020-06-23	1
LEUNG THOMAS CHIEF FINANCIAL OFFICER	Officer	0	2020-02-20	0
FINER MITCHELL H.	Director	0	2019-07-31	0
SPIVEY RICHARD N.	Director	0	2019-07-31	0
CHENG JENNIFER C. GENERAL COUNSEL	Officer	0	2019-02-14	0
CLEVELAND PAUL B	Director	0	2018-05-31	0
SALZMAN AMBER PRESIDENT AND CEO	Officer Director	0	2018-02-15	0
COUNTOURIOTIS ATHENA SVP, CHIEF MEDICAL OFFICER	Officer	0	2018-02-15	0
SCHWARTZ STEVEN DANIEL	Director	398,991	2017-06-12	0
BARONE SAMUEL B. SVP, CLINICAL DEVELOPMENT	Officer	172,335	2017-02-09	0
RUSSO CARLO EVP AND CHIEF MEDICAL OFFICER	Officer	0	2016-05-11	0
VERSANT VENTURES IV, LLC VERSANT VENTURE CAPITAL IV, L.P. VERSANT IV LUXCO S.A R.L. VERSANT CAPITAL IV (SWITZERLAND) GMBH	10% Owner	7,003,892	2016-05-11	0
WACHTER PAUL	Director	69,112	2016-02-29	0
BLUMENKRANZ MARK S.	Director	562,915	2016-02-12	0
MCLAUGHLIN JOHN PETER	Director	36,893	2016-02-12	0
RUBIO ROMAN G. SVP, TRANSLATIONAL MEDICINE	Officer	165,650	2016-02-12	0
BRAUN SHIRLEY VP, HUMAN RESOURCES	Officer	161,140	2016-02-12	0
SWARTZBURG MICHAEL PRINCIPAL ACCOUNTING OFFICER	Officer	82,113	2016-02-12	0
BAIN LINDA CHIEF FINANCIAL OFFICER	Officer	41,930	2015-08-21	0
HULL HANS CHIEF EXECUTIVE OFFICER	Officer	137,210	2015-08-21	0
CHALBERG THOMAS W. CHIEF EXECUTIVE OFFICER	Officer Director	1,099,401	2015-06-10	0
GUERIN JOHN PATRICK ET AL	Director 10% Owner	200,000	2015-05-27	0
ZYGTECH, LLC	10% Owner	No longer subject to file	2015-04-13	0
REGENERON PHARMACEUTICALS INC	10% Owner	No longer subject to file	2014-08-05	0
FLYNN JAMES E DEERFIELD MGMT L.P. DEERFIELD SPECIAL SITUATIONS FUND, L.P. DEERFIELD SPECIAL SITUATIONS INTERNATIONAL MASTER FUND, L.P. DEERFIELD MGMT III, L.P. DEERFIELD MANAGEMENT CO DEERFIELD PRIVATE DESIGN FUND III, L.P. DEERFIELD PARTNERS, LP DEERFIELD INTERNATIONAL MASTER FUND, L.P.	10% Owner POSSIBLE MEMBERS OF 10% GROUPPOSSIBLE MEMBERS OF 10% GROUPPOSSIBLE MEMBERS OF 10% GROUPPOSSIBLE MEMBERS OF 10% GROUPPOSSIBLE MEMBERS OF 10% GROUPPOSSIBLE MEMBERS OF 10% GROUPPOSSIBLE MEMBERS OF 10% GROUPPOSSIBLE MEMBERS OF 10% GROUPPOSSIBLE MEMBERS OF 10% GROUP	No longer subject to file	2014-08-05	0
VENROCK ASSOCIATES VI, L.P. VENROCK PARTNERS VI, L.P. VENROCK MANAGEMENT VI, LLC VENROCK PARTNERS MANAGEMENT VI, LLC VENROCK HEALTHCARE CAPITAL PARTNERS LP VHCP CO-INVESTMENT HOLDINGS, LLC VHCP MANAGEMENT, LLC HOVE ANDERS D KOH BONG Y	10% Owner	2,365,471	2014-08-05	0
VENROCK HEALTHCARE CAPITAL PARTNERS II, L.P. VHCP CO-INVESTMENT HOLDINGS II, LLC VHCP MANAGEMENT II, LLC	10% Owner	2,365,471	2014-08-05	0
VENROCK ASSOCIATES VI, L.P. VENROCK PARTNERS VI, L.P. VENROCK MANAGEMENT VI, LLC VENROCK PARTNERS MANAGEMENT VI, LLC VENROCK HEALTHCARE CAPITAL PARTNERS LP VHCP CO-INVESTMENT HOLDINGS, LLC VHCP MANAGEMENT, LLC ROBERTS BRYAN E HOVE ANDERS D	10% Owner	0	2014-07-30	0
FLYNN JAMES E DEERFIELD MGMT L.P. DEERFIELD SPECIAL SITUATIONS INTERNATIONAL MASTER FUND, L.P. DEERFIELD SPECIAL SITUATIONS FUND, L.P. DEERFIELD MGMT III, L.P. DEERFIELD PRIVATE DESIGN FUND III, L.P.	10% Owner POSSIBLE MEMBER OF 10% GROUPPOSSIBLE MEMBER OF 10% GROUPPOSSIBLE MEMBER OF 10% GROUPPOSSIBLE MEMBER OF 10% GROUPPOSSIBLE MEMBER OF 10% GROUPPOSSIBLE MEMBER OF 10% GROUP	0	2014-07-30	0

Insider Transactions Last 60 Days

Reporting Owners	Filing Date	Trans Date	Trans Code	Shares	Share Price	Acquired Disposed	Shares Owned after	D/I	Perf 1d*	Perf 5d*	Max Gain	Max Gain Days	Max Loss	Max Loss Days
SVORONOS DAWN - Director	2021-04-01 20:21:42 -0400	2021-03-31	P	20,000	$10.02	a	20,000	direct	-6.3447	-14.1098	0.0	1	-14.1098	6
FISCHER LAURENT - Director - Officer CEO AND DIRECTOR	2021-03-24 19:47:46 -0400	2021-03-24	P	10,000	$9.88	a	26,292	direct	-2.6445	-1.2733	0.0	1	-7.6396	3
MACHADO PATRICK - Director	2021-03-24 19:46:53 -0400	2021-03-24	P	10,000	$9.92	a	88,182	direct	-2.6445	-1.2733	0.0	1	-7.6396	3
TUCKSON REED VAUGHN - Director	2021-02-23 19:13:36 -0500	2021-02-19	A	45,000		a	45,000	direct
PATTERSON LEONE D - Officer PRESIDENT AND CFO	2021-02-18 21:03:54 -0500	2021-02-16	A	240,000		a	240,000	direct
OSBORNE AARON - Officer CHIEF MEDICAL OFFICER	2021-02-18 21:04:39 -0500	2021-02-16	A	150,000		a	150,000	direct
THEDINGA ANGELA - Officer CHIEF TECHNOLOGY OFFICER	2021-02-18 21:06:03 -0500	2021-02-16	A	250,000		a	250,000	direct
FISCHER LAURENT - Director - Officer CEO AND DIRECTOR	2021-02-18 21:03:02 -0500	2021-02-16	A	680,000		a	680,000	direct
SOPARKAR PETER - Officer CHIEF LEGAL OFFICER	2021-02-18 21:05:24 -0500	2021-02-16	A	140,000		a	140,000	direct

* -

Transaction Code Definitions
Code	Definition
A	Grant, award or other acquisition pursuant to Rule 16b-3(d)
C	Conversion of derivative security
D	Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e)
E	Expiration of short derivative position
F	Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3
G	Bona fide gift
H	Expiration (or cancellation) of long derivative position with value received
I	Discretionary transaction in accordance with Rule 16b-3(f) resulting in acquisition or disposition of issuer securities
J	Other acquisition or disposition
L	Small acquisition under Rule 16a-6
M	Exercise or conversion of derivative security exempted pursuant to Rule 16b-3
O	Exercise of out-of-the-money derivative security
P	Open market or private purchase of non-derivative or derivative security
S	Open market or private sale of non-derivative or derivative security
U	Disposition pursuant to a tender of shares in a change of control transaction
W	Acquisition or disposition by will or the laws of descent and distribution
X	Exercise of in-the-money or at-the-money derivative security
Z	Deposit into or withdrawal from voting trust

IBR Securities Loan Availability

Updated throughout the day, this shows the number of shares available to borrow. Data provided by Interactive Brokers

Security	Date/Time	Rebate Rate	Fee Rate	Shares Available
ADVERUM BIOTECHNOLOGIES INC ADVM	2021-04-16 22:15:03 UTC	-0.3048	0.3648	800000
ADVERUM BIOTECHNOLOGIES INC ADVM	2021-04-16 21:45:03 UTC	-0.3048	0.3648	800000
ADVERUM BIOTECHNOLOGIES INC ADVM	2021-04-16 21:15:02 UTC	-0.3048	0.3648	800000
ADVERUM BIOTECHNOLOGIES INC ADVM	2021-04-16 20:45:03 UTC	-0.3048	0.3648	800000
ADVERUM BIOTECHNOLOGIES INC ADVM	2021-04-16 20:15:04 UTC	-0.3048	0.3648	800000
ADVERUM BIOTECHNOLOGIES INC ADVM	2021-04-16 19:45:03 UTC	-0.3048	0.3648	800000
ADVERUM BIOTECHNOLOGIES INC ADVM	2021-04-16 19:15:03 UTC	-0.3048	0.3648	800000
ADVERUM BIOTECHNOLOGIES INC ADVM	2021-04-16 18:45:03 UTC	-0.3048	0.3648	800000
ADVERUM BIOTECHNOLOGIES INC ADVM	2021-04-16 18:15:03 UTC	-0.3048	0.3648	800000
ADVERUM BIOTECHNOLOGIES INC ADVM	2021-04-16 17:45:03 UTC	-0.3048	0.3648	800000
ADVERUM BIOTECHNOLOGIES INC ADVM	2021-04-16 17:15:03 UTC	-0.3048	0.3648	800000
ADVERUM BIOTECHNOLOGIES INC ADVM	2021-04-16 16:45:02 UTC	-0.3048	0.3648	800000
ADVERUM BIOTECHNOLOGIES INC ADVM	2021-04-16 16:15:03 UTC	-0.3048	0.3648	800000
ADVERUM BIOTECHNOLOGIES INC ADVM	2021-04-16 15:45:03 UTC	-0.3048	0.3648	800000
ADVERUM BIOTECHNOLOGIES INC ADVM	2021-04-16 15:15:03 UTC	-0.3048	0.3648	800000
ADVERUM BIOTECHNOLOGIES INC ADVM	2021-04-16 14:45:03 UTC	-0.3048	0.3648	800000
ADVERUM BIOTECHNOLOGIES INC ADVM	2021-04-16 14:15:02 UTC	-0.3048	0.3648	800000
ADVERUM BIOTECHNOLOGIES INC ADVM	2021-04-16 13:45:03 UTC	-0.3048	0.3648	800000
ADVERUM BIOTECHNOLOGIES INC ADVM	2021-04-16 13:15:03 UTC	-0.3048	0.3648	800000
ADVERUM BIOTECHNOLOGIES INC ADVM	2021-04-16 12:45:02 UTC	-0.3048	0.3648	800000

Current Active Short Positions

Holder	Issuer	Net Short Position	Position Date	Origin
Trust for Professional Managers- Convergence Market Neutral Fund	ADVM	-5066.0 shares, $-61805.2	2020-08-31	N-PORT
PACE SELECT ADVISORS TRUST- PACE Alternative Strategies Investments	ADVM	-21840.0 shares, $-269287.2	2021-01-31	N-PORT
INVESTMENT MANAGERS SERIES TRUST- 361 Global Long/Short Equity Fund	ADVM	-206285.0 shares, $-2543494.05	2021-01-31	N-PORT
Columbia Funds Series Trust I- Multi-Manager Directional Alternative Strategies Fund	ADVM	-25066.0 shares, $-309063.78	2021-01-31	N-PORT

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