Form Type: 4

SEC EDGAR Link
Accession Number:0001209191-23-019839
Date:2023-03-15
Issuer: ADVERUM BIOTECHNOLOGIES, INC. (ADVM)
Original Submission Date:

Reporting Person:

SOPARKAR PETER
C/O ADVERUM BIOTECHNOLOGIES, INC.
100 CARDINAL WAY 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
COMMON STOCK 2023-03-15 S 13,360 d $0.78 265,891 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 the sales reported on this form 4 were effected to satisfy certain tax obligations of the reporting person incurred with the vesting and settlement of certain performance stock units.
f2 includes 6,000 shares purchased on november 18, 2022 pursuant to the issuer's 2014 employee stock purchase plan, as amended and restated.
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