Accession Number: | 0001209191-23-019839 |
Date: | 2023-03-15 |
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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COMMON STOCK | 2023-03-15 | S | 13,360 | d | $0.78 | 265,891 | direct |
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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ID | footnote |
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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. |