Accession Number: | 0001209191-23-015785 |
Date: | 2023-03-01 |
Issuer: | ADVERUM BIOTECHNOLOGIES, INC. (ADVM) |
Original Submission Date: |
SOPARKAR PETER
C/O ADVERUM BIOTECHNOLOGIES, INC.
100 CARDINAL WAY
REDWOOD CITY, CA 94063
Title of Security | Transaction Date | 2a. Deemed Execution Date | Transaction Code | Shares | Acquired or Disposed | Price per share | 5. Amount of Securities Beneficially Owned Following Reported Transaction | 6. Ownership Form Direct or Indirect | Nature of Indirect Ownership |
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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 Exercisable | Expiration 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 |
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STOCK OPTION (RIGHT TO BUY) | 0.75 | 2023-03-01 | deemed execution date | A | 400,000 (a) | 2033-02-28 | common stock 400,000 | $0.75 | 400,000 | direct |
ID | footnote |
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f1 | twenty-five percent (25%) of the total number of shares subject to the option shall vest and become exercisable on the first anniversary of march 1, 2023 (the "vesting commencement date"), and one-forty-eighth (1/48th) of the total number of shares subject to the option shall vest and become exercisable each month thereafter, such that all of the shares subject to the option shall become vested and exercisable on the fourth (4th) anniversary of the vesting commencement date, subject to the reporting person's continued service with the issuer on each such vesting date. |