Основная статистика
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| CIK | 1501756 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Adverum Biotechnologies, Inc.
SEC Filings (Chronological Order)
На этой странице представлен полный хронологический список документов SEC, за исключением документов о собственности, которые мы предоставляем в других местах.
| August 12, 2025 |
Adverum Biotechnologies, Inc. 2014 Employee Stock Purchase Plan, Exhibit 10.2 ADVERUM BIOTECHNOLOGIES, INC. 2014 EMPLOYEE STOCK PURCHASE PLAN AMENDED AND RESTATED ON MAY 13, 2025 ARTICLE I PURPOSE, SCOPE AND ADMINISTRATION OF THE PLAN 1.1. Purpose and Scope. The purpose of the Adverum Biotechnologies, Inc. 2014 Employee Stock Purchase Plan, as it may be amended from time to time, (the “Plan”) is to assist employees of Adverum Biotechnologies, Inc., a Delaware c |
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| August 12, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2025 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-36579 Adverum Biotechnologies, Inc. |
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| August 12, 2025 |
orm of Registration Rights Agreement Exhibit 10.5 REGISTRATION RIGHTS AGREEMENT This Registration Rights Agreement (this “Agreement”) is made and entered into as of August 12, 2025, between Adverum Biotechnologies, Inc., a Delaware corporation (the “Company”), and each of the several investors signatory hereto (each, an “Investor” and, collectively, the “Investors”). This Agreement is made pursuant to a Securities Purchase Agreement, |
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| August 12, 2025 |
Exhibit 99.1 Adverum Biotechnologies Reports Second Quarter 2025 Financial Results and Provides Pipeline Highlights –ARTEMIS Phase 3 trial enrollment exceeding expectations; driven by strong retina specialist and patient enthusiasm for a potential One And Done™ therapy for wet AMD –ARTEMIS enrollment completion expected in 1Q 2026, with topline data anticipated 1H 2027 –LUNA 2-year long-term follo |
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| August 12, 2025 |
Exhibit 10.3 SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this “Agreement”) is dated as of August 11, 2025, between Adverum Biotechnologies, Inc., a Delaware corporation (the “Company”), and the several purchasers identified on the signature pages hereto (each, including its respective successors and assigns, a “Purchaser”). WHEREAS, subject to the terms and conditions set for |
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| August 12, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 August 12, 2025 Date of Report (Date of earliest event reported) Adverum Biotechnologies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36579 20-5258327 (State or other jurisdiction of incorporation) (Commi |
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| August 12, 2025 |
Exhibit 10.4 NEITHER THIS SECURITY NOR THE SECURITIES FOR WHICH THIS SECURITY IS EXERCISABLE HAVE BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE IN RELIANCE UPON AN EXEMPTION FROM REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), OR UNDER APPLICABLE STATE SECURITIES OR BLUE SKY LAWS. THE SECURITIES ARE SUBJECT T |
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| June 20, 2025 |
2024 Equity Incentive Award Plan, as amended and restated. Exhibit 99.1 ADVERUM BIOTECHNOLOGIES, INC. 2024 EQUITY INCENTIVE AWARD PLAN (As Amended and Restated June 17, 2025) ARTICLE 1 PURPOSE The purpose of the Adverum Biotechnologies, Inc. 2024 Equity Incentive Award Plan (as it may be amended from time to time, the “Plan”) is to promote the success and enhance the value of Adverum Biotechnologies, Inc. (the “Company”) by linking the individual interest |
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| June 20, 2025 |
Exhibit 107 Calculation of Filing Fee Tables Form S-8 (Form Type) Adverum Biotechnologies, Inc. |
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| June 20, 2025 |
As filed with the Securities and Exchange Commission on June 20, 2025 As filed with the Securities and Exchange Commission on June 20, 2025 Registration No. |
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| June 18, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 June 17, 2025 Date of Report (Date of earliest event reported) Adverum Biotechnologies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36579 20-5258327 (State or other jurisdiction of incorporation) (Commiss |
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| June 18, 2025 |
EX-10.1 Exhibit 10.1 ADVERUM BIOTECHNOLOGIES, INC. 2024 EQUITY INCENTIVE AWARD PLAN (As Amended and Restated June 17, 2025) ARTICLE 1 PURPOSE The purpose of the Adverum Biotechnologies, Inc. 2024 Equity Incentive Award Plan (as it may be amended from time to time, the “Plan”) is to promote the success and enhance the value of Adverum Biotechnologies, Inc. (the “Company”) by linking the individual |
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| May 23, 2025 |
DEFA14A SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| May 14, 2025 |
Exhibit 99.1 Adverum Biotechnologies Reports First Quarter 2025 Financial Results and Provides Pipeline Highlights –Initiated ARTEMIS, the first-ever registrational intravitreal gene therapy trial, in both treatment-experienced and treatment-naive patients with wet AMD –Presented the first human data mapping cell-level transduction and aflibercept mRNA expression 3.5 years after Ixo-vec administra |
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| May 14, 2025 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 May 14, 2025 Date of Report (Date of earliest event reported) Adverum Biotechnologies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36579 20-5258327 (State or other jurisdiction of incorporation) (Commissi |
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| May 14, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2025 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-36579 Adverum Biotechnologies, Inc. |
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| April 28, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for use of the Commission only (as permitted by Rule 14a-6 |
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| April 28, 2025 |
TABLE OF CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, fo |
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| April 18, 2025 |
TABLE OF CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☒ Preliminary Proxy Statement ☐ Confidential, for |
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| April 15, 2025 |
Exhibit 21.1 SUBSIDIARIES OF ADVERUM BIOTECHNOLOGIES, INC. Name of Subsidiary Country of Incorporation Avalanche Australia PTY LTD Australia Annapurna Therapeutics, LTD Ireland Adverum NC, LLC North Carolina, USA |
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| April 15, 2025 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 April 15, 2025 Date of Report (Date of earliest event reported) Adverum Biotechnologies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36579 20-5258327 (State or other jurisdiction of incorporation) (Commis |
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| April 15, 2025 |
Exhibit 10.18 Adverum Biotechnologies, Inc. 100 Cardinal Way Redwood City, CA 94063 O: 650.656-9323 June 4, 2024 Rabia Gurses Ozden, M.D. [Address] Re: Chief Medical Officer (CMO) Dear Rabia, I am pleased to offer you a position with Adverum Biotechnologies, Inc. (the “Company”) as Chief Medical Officer (CMO), reporting to the President and Chief Executive Officer, Laurent Fischer, M.D. Although y |
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| April 15, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2024 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-36579 Adverum Biotechnologies, Inc. |
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| April 15, 2025 |
Exhibit 19.1 ADVERUM BIOTECHNOLOGIES, INC. INSIDER TRADING COMPLIANCE POLICY This Insider Trading Compliance Policy (this “Policy”) consists of six sections: • Section I provides an overview; • Section II sets forth Adverum Biotechnologies, Inc.’s policies prohibiting insider trading; • Section III explains insider trading; • Section IV consists of procedures that have been put in place by Adverum |
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| April 15, 2025 |
Exhibit 99.1 Adverum Biotechnologies Reports Fourth Quarter and Full Year 2024 Financial Results and Provides Pipeline Highlights and Updates to Anticipated Milestones REDWOOD CITY, Calif., April 15, 2025 - Adverum Biotechnologies, Inc. (Nasdaq: ADVM), a clinical-stage company pioneering the use of gene therapy to preserve sight for life in highly prevalent ocular diseases, today reported financia |
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| March 31, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING (Check one): ☒ Form 10-K ☐ Form 20-F ☐ Form 11-K ☐ Form 10-Q ☐ Form 10-D ☐ Form N-CEN ☐ Form N-CSR For Period Ended: December 31, 2024 ☐ Transition Report on Form 10-K ☐ Transition Report on Form 20-F ☐ Transition Report on Form 11-K ☐ Transition Report on Form 10-Q For the Tr |
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| March 31, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 March 28, 2025 Date of Report (Date of earliest event reported) Adverum Biotechnologies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36579 20-5258327 (State or other jurisdiction of incorporation) (Commis |
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| February 27, 2025 |
As filed with the Securities and Exchange Commission on February 27, 2025 As filed with the Securities and Exchange Commission on February 27, 2025 Registration No. |
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| February 27, 2025 |
Exhibit 107 Calculation of Filing Fee Tables Form S-8 (Form Type) Adverum Biotechnologies, Inc. |
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| February 27, 2025 |
2017 Inducement Plan, as amended and restated Exhibit 99.1 ADVERUM BIOTECHNOLOGIES, INC. 2017 INDUCEMENT PLAN ADOPTED BY THE BOARD OF DIRECTORS: OCTOBER 6, 2017 AMENDED FEBRUARY 14, 2019 AMENDED JULY 30, 2019 AMENDED DECEMBER 13, 2019 AMENDED JUNE 17, 2020 AMENDED FEBRUARY 19, 2021 AMENDED DECEMBER 4, 2024 AMENDED FEBRUARY 25, 2025 1. GENERAL. (a) Eligible Award Recipients. The only persons eligible to receive grants of Awards under this Plan |
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| February 14, 2025 |
EXHIBIT 99.1 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k) under the Securities Exchange Act of 1934, as amended, the undersigned agree to the joint filing on behalf of each of them of a statement on Schedule 13G (including amendments thereto) with respect to the Common Stock of Adverum Biotechnologies, Inc. and further agree that this agreement be included as an exhibit to such filing. |
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| December 19, 2024 |
2017 Inducement Plan, as amended and restated. Exhibit 99.1 ADVERUM BIOTECHNOLOGIES, INC. 2017 INDUCEMENT PLAN ADOPTED BY THE BOARD OF DIRECTORS: OCTOBER 6, 2017 AMENDED FEBRUARY 14, 2019 AMENDED JULY 30, 2019 AMENDED DECEMBER 13, 2019 AMENDED JUNE 17, 2020 AMENDED FEBRUARY 19, 2021 AMENDED DECEMBER 4, 2024 1. GENERAL. (a) Eligible Award Recipients. The only persons eligible to receive grants of Awards under this Plan are individuals who satis |
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| December 19, 2024 |
EX-FILING FEES Exhibit 107 Calculation of Filing Fee Tables Form S-8 (Form Type) Adverum Biotechnologies, Inc. |
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| December 19, 2024 |
As filed with the Securities and Exchange Commission on December 19, 2024 As filed with the Securities and Exchange Commission on December 19, 2024 Registration No. |
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| November 18, 2024 |
Exhibit 99.1 Preserving ® Sight for Life Webcast to Present 52-Week LUNA and 4- Year OPTIC Results and Pivotal Program th November 18 , 2024 Forward-Looking Statements Statements contained in this document and any accompanying presentation regarding matters, events, statistics, or clinical or financial results that may occur in the future are “forward-looking statements” within the meaning of the |
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| November 18, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 November 18, 2024 Date of Report (Date of earliest event reported) Adverum Biotechnologies, Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-36579 20-5258327 (State or Other Jurisdiction of Incorporation) (Com |
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| November 14, 2024 |
ADVM / Adverum Biotechnologies, Inc. / COMMODORE CAPITAL LP Passive Investment SC 13G/A 1 formsc13ga.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* Adverum Biotechnologies, Inc. (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 00773U207 (CUSIP Number) September 30, 2024 (Date of Event Which Requires Filing of this Statement) Check the |
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| November 14, 2024 |
SC 13G/A 1 ea022116101-13ga1vivoadver.htm AMENDMENT NO. 1 TO SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 1)* Adverum Biotechnologies, Inc. (Name of Issuer) Common Stock, $0.0001 par value (Title of Class of Securities) 00773U207 (CUSIP Number) September 30, 2024 (Date of Event which Req |
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| November 14, 2024 |
ADVM / Adverum Biotechnologies, Inc. / Logos Global Management LP Passive Investment SC 13G/A 1 advm13ga1.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1) Adverum Biotechnologies, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 00773U207 (CUSIP Number) September 30, 2024 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate |
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| November 4, 2024 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 November 4, 2024 Date of Report (Date of earliest event reported) Adverum Biotechnologies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36579 20-5258327 (State or other jurisdiction of incorporation) (Comm |
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| November 4, 2024 |
Exhibit 99.1 Adverum Biotechnologies Reports Third Quarter 2024 Financial Results, Provides Corporate Highlights and Updates Anticipated Milestones - 52-week LUNA and 4-year OPTIC data, alongside Phase 3 trial design updates, anticipated in Q4 2024 - Appointed Jason Mitchell as chief commercial officer - On-track to initiate pivotal program in 1H 2025 - $153.2 million in cash, cash equivalents and |
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| November 4, 2024 |
Restated Certificate of Incorporation. Exhibit 3.1 RESTATED CERTIFICATE OF INCORPORATION OF ADVERUM BIOTECHNOLOGIES, INC. Adverum Biotechnologies, Inc., a corporation organized and existing under the General Corporation Law of the State of Delaware (the “Delaware General Corporation Law”), hereby certifies as follows: FIRST The name of this corporation is Adverum Biotechnologies, Inc. SECOND The original certificate of incorporation of |
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| November 4, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2024 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-36579 Adverum Biotechnologies, Inc. |
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| August 12, 2024 |
Exhibit 10.4 ADVERUM BIOTECHNOLOGIES, INC. NON-EMPLOYEE DIRECTOR COMPENSATION POLICY ADOPTED BY THE COMPENSATION COMMITTEE: MAY 22, 2024 Each member of the board of directors (the “Board”) of Adverum Biotechnologies, Inc. (the “Company”) who is a Non-Employee Director (as defined in the Adverum Biotechnologies, Inc. 2024 Equity Incentive Award Plan (the “Plan”)) will be eligible to receive cash an |
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| August 12, 2024 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 August 12, 2024 Date of Report (Date of earliest event reported) Adverum Biotechnologies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36579 20-5258327 (State or other jurisdiction of incorporation) (Commi |
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| August 12, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2024 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-36579 Adverum Biotechnologies, Inc. |
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| August 12, 2024 |
Exhibit 99.1 Adverum Biotechnologies Reports Second Quarter 2024 Financial Results and Provides Program and Corporate Highlights - 6E10 dose of Ixo-vec selected for Phase 3 pivotal trials - LUNA 26-week interim analysis presented at ASRS 2024 demonstrating a potential best-in-class product profile of Ixo-vec, with similar efficacy and a favorable safety profile compared to OPTIC - LUNA 9-month lan |
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| July 22, 2024 |
ADVM / Adverum Biotechnologies, Inc. / BML Investment Partners, L.P. Passive Investment SC 13G/A 1 advm13g020724.htm SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G/A* (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2 (AMENDMENT NO. 3 )* Adverum Biotechnologies, Inc. (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 00 |
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| July 17, 2024 |
Regulation FD Disclosure, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 July 17, 2024 Date of Report (Date of earliest event reported) Adverum Biotechnologies, Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-36579 20-5258327 (State or Other Jurisdiction of Incorporation) (Commiss |
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| July 17, 2024 |
Exhibit 99.1 Ixo-vec Phase 2 Results from the 26-Week Interim Analysis Company Conference Call – July 17th, 2024 Forward-Looking Statements Statements contained in this press release regarding events or results that may occur in the future are “forward-looking statements” within the meaning of the Private Securities Litigation Reform Act of 1995. Such statements include but are not limited to stat |
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| June 28, 2024 |
As filed with the Securities and Exchange Commission on June 28, 2024 As filed with the Securities and Exchange Commission on June 28, 2024 Registration No. |
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| June 28, 2024 |
Exhibit 99.3 ADVERUM BIOTECHNOLOGIES, INC. 2024 EQUITY INCENTIVE AWARD PLAN RESTRICTED STOCK UNIT AWARD GRANT NOTICE Adverum Biotechnologies, Inc., a Delaware corporation, (the “Company”), pursuant to its 2024 Equity Incentive Award Plan, as amended from time to time (the “Plan”), hereby grants to the holder listed below (the “Participant”), an award of restricted stock units (“Restricted Stock Un |
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| June 28, 2024 |
Exhibit 107 Calculation of Filing Fee Tables Form S-8 (Form Type) Adverum Biotechnologies, Inc. |
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| June 28, 2024 |
2024 Equity Incentive Award Plan. Exhibit 99.1 ADVERUM BIOTECHNOLOGIES, INC. 2024 EQUITY INCENTIVE AWARD PLAN ARTICLE 1 PURPOSE The purpose of the Adverum Biotechnologies, Inc. 2024 Equity Incentive Award Plan (as it may be amended from time to time, the “Plan”) is to promote the success and enhance the value of Adverum Biotechnologies, Inc. (the “Company”) by linking the individual interests of the members of the Board, Employees |
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| June 28, 2024 |
Exhibit 99.2 ADVERUM BIOTECHNOLOGIES, INC. 2024 EQUITY INCENTIVE AWARD PLAN STOCK OPTION GRANT NOTICE Adverum Biotechnologies, Inc., a Delaware corporation, (the “Company”), pursuant to its 2024 Equity Incentive Award Plan, as may be amended from time to time, (the “Plan”), hereby grants to the holder listed below (“Participant”), an option to purchase the number of shares of the Company’s common |
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| June 18, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 June 17, 2024 Date of Report (Date of earliest event reported) Adverum Biotechnologies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36579 20-5258327 (State or other jurisdiction of incorporation) (Commiss |
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| June 11, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 June 6, 2024 Date of Report (Date of earliest event reported) Adverum Biotechnologies, Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-36579 20-5258327 (State or Other Jurisdiction of Incorporation) (Commissi |
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| June 11, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for use of the Commission only (as permitted by Rule 14a-6(e) |
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| May 28, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for use of the Commission only (as permitted by Rule 14a-6(e |
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| May 14, 2024 |
ADVM / Adverum Biotechnologies, Inc. / Versant Ventures IV, LLC - SC 13D/A Activist Investment SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 2)* Adverum Biotechnologies, Inc. (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 00773U108 (CUSIP Number) Versant Ventures IV, LLC Max Eisenberg One Sansome Street, Suite 1650 San Francisco, California 9410 |
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| May 9, 2024 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 May 9, 2024 Date of Report (Date of earliest event reported) Adverum Biotechnologies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36579 20-5258327 (State or other jurisdiction of incorporation) (Commissio |
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| May 9, 2024 |
Exhibit 99.1 Adverum Biotechnologies Reports First Quarter 2024 Financial Results and Provides Pipeline Highlights - Phase 2 LUNA interim analysis to be presented at ASRS Annual Scientific Meeting on July 17th, 2024 in Stockholm, Sweden - - $193.3 million in cash, cash equivalents and short-term investments expected to fund operations into late 2025 - REDWOOD CITY, Calif., May 9, 2024 - Adverum Bi |
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| May 9, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2024 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-36579 Adverum Biotechnologies, Inc. |
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| May 2, 2024 |
TABLE OF CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for use of the Commission only (as per |
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| May 2, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for use of the Commission only (as permitted by Rule 14a-6 |
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| April 29, 2024 |
ADVM / Adverum Biotechnologies, Inc. / BML Investment Partners, L.P. Passive Investment SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G/A* (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2 (AMENDMENT NO. 2 )* Adverum Biotechnologies, Inc. (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 00773U108 (CUSIP Number) April |
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| March 27, 2024 |
ADVERUM BIOTECHNOLOGIES, INC. 100 Cardinal Way Redwood City, California 94063 ADVERUM BIOTECHNOLOGIES, INC. 100 Cardinal Way Redwood City, California 94063 March 27, 2024 VIA EMAIL AND EDGAR U.S. Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549-3010 Attn: Jason Drory RE: Adverum Biotechnologies, Inc. Registration Statement on Form S-3 (File No. 333-278157) Request for Acceleration of Effective Date Ladies and Gentl |
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| March 21, 2024 |
Exhibit 107 Calculation of Filing Fee Tables Form S-3 (Form Type) ADVERUM BIOTECHNOLOGIES, INC. |
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| March 21, 2024 |
Form of Preferred Stock Warrant Agreement and Warrant Certificate Exhibit 4.7 ADVERUM BIOTECHNOLOGIES, INC. AND , AS WARRANT AGENT FORM OF PREFERRED STOCK WARRANT AGREEMENT DATED AS OF ADVERUM BIOTECHNOLOGIES, INC. FORM OF PREFERRED STOCK WARRANT AGREEMENT THIS PREFERRED STOCK WARRANT AGREEMENT (this “Agreement”), dated as of [•], between ADVERUM BIOTECHNOLOGIES, INC., a Delaware corporation (the “Company”), and [•], a [corporation] [national banking association |
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| March 21, 2024 |
Form of Common Stock Warrant Agreement and Warrant Certificate Exhibit 4.6 ADVERUM BIOTECHNOLOGIES, INC. AND , AS WARRANT AGENT FORM OF COMMON STOCK WARRANT AGREEMENT DATED AS OF ADVERUM BIOTECHNOLOGIES, INC. FORM OF COMMON STOCK WARRANT AGREEMENT THIS COMMON STOCK WARRANT AGREEMENT (this “Agreement”), dated as of [•], between ADVERUM BIOTECHNOLOGIES, INC., a Delaware corporation (the “Company”), and [•], a [corporation] [national banking associatio |
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| March 21, 2024 |
As filed with the Securities and Exchange Commission on March 21, 2024 Table of Contents As filed with the Securities and Exchange Commission on March 21, 2024 Registration No. |
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| March 20, 2024 |
Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 March 20, 2024 Date of Report (Date of earliest event reported) Adverum Biotechnologies, Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-36579 20-5258327 (State or Other Jurisdiction of Incorporation) (Commis |
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| March 20, 2024 |
Restated Certificate of Incorporation. Exhibit 3.2 RESTATED CERTIFICATE OF INCORPORATION OF ADVERUM BIOTECHNOLOGIES, INC. Adverum Biotechnologies, Inc., a corporation organized and existing under the General Corporation Law of the State of Delaware (the “Delaware General Corporation Law”), hereby certifies as follows: FIRST: The name of this corporation is Adverum Biotechnologies, Inc. SECOND: The original certificate of incorporation |
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| March 20, 2024 |
106,480,057 shares of Common Stock Table of Contents Filed Pursuant to Rule 424(b)(3) Registration No. 333-277634 PROSPECTUS 106,480,057 shares of Common Stock This prospectus covers the offer and resale by the selling stockholders identified in this prospectus of up to an aggregate of 106,480,057 shares of our common stock, which consists of (i) 105,730,057 shares of our common stock held by the selling stockholders and (ii) 750,0 |
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| March 20, 2024 |
Exhibit 3.1 CERTIFICATE OF AMENDMENT OF THE AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF ADVERUM BIOTECHNOLOGIES, INC. Adverum Biotechnologies, Inc., a corporation organized and existing under and by virtue of the General Corporation Law of the State of Delaware, hereby certifies that: FIRST: The name of this corporation is Adverum Biotechnologies, Inc. (the “Company”). SECOND: The date of |
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| March 18, 2024 |
Exhibit 21.1 SUBSIDIARIES OF ADVERUM BIOTECHNOLOGIES, INC. Name of Subsidiary Country of Incorporation Avalanche Australia PTY LTD Australia Annapurna Therapeutics, LTD Ireland Adverum NC, LLC North Carolina, USA |
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| March 18, 2024 |
As filed with the Securities and Exchange Commission on March 18, 2024 As filed with the Securities and Exchange Commission on March 18, 2024 Registration No. |
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| March 18, 2024 |
ADVERUM BIOTECHNOLOGIES, INC. 100 Cardinal Way Redwood City, California 94063 ADVERUM BIOTECHNOLOGIES, INC. 100 Cardinal Way Redwood City, California 94063 March 18, 2024 VIA EDGAR Securities and Exchange Commission Office of Finance Division of Corporation Finance 100 F. Street N.E. Washington, D.C. 20549-3010 RE: Adverum Biotechnologies, Inc. Registration Statement on Form S-3 (File No. 333-277634) Request for Acceleration of Effective Date Ladies and Gentlemen: Adverum B |
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| March 18, 2024 |
Exhibit 99.1 Adverum Biotechnologies Reports Fourth Quarter and Full Year 2023 Financial Results and Provides Pipeline Highlights and Corporate Updates - Preliminary LUNA data presented at the Annual Meeting of the Macula Society support potential best-in-class clinical activity and an encouraging safety profile in patients with wet AMD - - Completed $127.5 million private placement financing with |
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| March 18, 2024 |
Exhibit 107 Calculation of Filing Fee Tables Form S-8 (Form Type) Adverum Biotechnologies, Inc. |
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| March 18, 2024 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 March 18, 2024 Date of Report (Date of earliest event reported) Adverum Biotechnologies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36579 20-5258327 (State or other jurisdiction of incorporation) (Commis |
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| March 18, 2024 |
Incentive Compensation Recoupment Policy. Exhibit 97.1 ADVERUM BIOTECHNOLOGIES, INC. INCENTIVE COMPENSATION RECOUPMENT POLICY 1.INTRODUCTION The Compensation Committee (the “Compensation Committee”) of the Board of Directors (the “Board”) of Adverum Biotechnologies, Inc., a Delaware corporation (the “Company”), has determined that it is in the best interests of the Company and its stockholders to adopt this Incentive Compensation Recoupme |
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| March 18, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2023 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-36579 Adverum Biotechnologies, Inc. |
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| March 4, 2024 |
As filed with the Securities and Exchange Commission on March 4, 2024 Table of Contents As filed with the Securities and Exchange Commission on March 4, 2024 Registration No. |
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| March 4, 2024 |
Exhibit 107 Calculation of Filing Fee Tables Form S-3 (Form Type) Adverum Biotechnologies, Inc. |
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| February 22, 2024 |
ADVM / Adverum Biotechnologies, Inc. / Logos Global Management LP Passive Investment SC 13G 1 advm13g.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. ) Adverum Biotechnologies, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 00773U108 (CUSIP Number) February 6, 2024 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rul |
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| February 15, 2024 |
ADVM / Adverum Biotechnologies, Inc. / TCG Crossover GP II, LLC - SC 13G Passive Investment SC 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Adverum Biotechnologies, Inc. (Name of Issuer) Common Stock, $0.0001 par value per share (Title of Class of Securities) 00773U108 (CUSIP Number) February 8, 2024 (Date of Event Which Requires Filing of This Statement) Check the appropriate box to d |
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| February 15, 2024 |
EX-99.1 2 d656327dex991.htm EX-99.1 Exhibit 1 JOINT FILING AGREEMENT The undersigned hereby agree that the foregoing statement on Schedule 13G is filed on behalf of each of the undersigned, and any amendments thereto executed by the undersigned shall be filed on behalf of each of the undersigned without the necessity of filing any additional joint filing agreement. The undersigned acknowledge that |
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| February 14, 2024 |
ADVM / Adverum Biotechnologies, Inc. / COMMODORE CAPITAL LP Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. |
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| February 14, 2024 |
SC 13G 1 ea193791-13gvivoadverum.htm SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Adverum Biotechnologies, Inc. (Name of Issuer) Common Stock, $0.0001 par value (Title of Class of Securities) 00773U108 (CUSIP Number) February 7, 2024 (Date of Event which Requires Filing of this Statemen |
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| February 14, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 1)* Adverum Biotechnologies, Inc. (Name of Issuer) Common Stock, $0.0001 par value (Title of Class of Securities) 00773U108 (CUSIP Number) December 31, 2023 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the |
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| February 14, 2024 |
EX-99.1 2 ea193791ex99-1adverum.htm JOINT FILING AGREEMENT Exhibit 99.1 Joint Filing Agreement The undersigned acknowledge and agree that the foregoing statement on Schedule 13G is filed on behalf of each of the undersigned and that all subsequent amendments to this statement on Schedule 13G shall be filed on behalf of each of the undersigned without the necessity of filing additional joint filing |
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| February 13, 2024 |
BANK OF AMERICA CORPORATION LIMITED POWER OF ATTORNEY EX-99 2 bacpoa.htm BANK OF AMERICA CORPORATION LIMITED POWER OF ATTORNEY BANK OF AMERICA CORPORATION, a Delaware corporation (the "Corporation"), does hereby make, constitute, and appoint each of Szabina Biro, Hannah Chae, Andres Ortiz Custodio, Kamil Dziedzic, Krishnan Harihanran, Kelvin Kwok, Frank Lui, James Todd, Michelle Wong, and Monica Yako as an attorney-in-fact for the Corporation acting |
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| February 13, 2024 |
ADVM / Adverum Biotechnologies, Inc. / BANK OF AMERICA CORP /DE/ Passive Investment SC 13G/A 1 doc1.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 01)* Adverum Biotechnologies, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 00773U108 (CUSIP Number) December 31, 2023 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate th |
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| February 9, 2024 |
SC 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. |
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| February 9, 2024 |
EX-99.A EXHIBIT A AGREEMENT Pursuant to Rule 13d-1(k)(1) under the Securities Exchange Act of 1934, the undersigned hereby agree that only one statement containing the information required by Schedule 13G need be filed with respect to the ownership by each of the undersigned of Common Stock of Adverum Biotechnologies, Inc. Date: February 9, 2024 FRAZIER LIFE SCIENCES PUBLIC FUND, L.P. By: FHMLSP, |
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| February 8, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 February 8, 2024 Date of Report (Date of earliest event reported) Adverum Biotechnologies, Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-36579 20-5258327 (State or Other Jurisdiction of Incorporation) (Comm |
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| February 8, 2024 |
Ixo-vec Phase 2 Initial LUNA Safety and Efficacy Data Q1’24 Exhibit 99.1 Forward-Looking Statements Statements contained in this document and any accompanying presentation regarding matters, events, statistics, or clinical or financial results that may occur in the future are “forward-looking statements” within the meaning of the Private Securities Litigation Reform Act of 1995. Such statements in |
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| February 7, 2024 |
ADVM / Adverum Biotechnologies, Inc. / BML Investment Partners, L.P. Passive Investment SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G/A* (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2 (AMENDMENT NO. 1 )* Adverum Biotechnologies, Inc. (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 00773U108 (CUSIP Number) Decemb |
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| February 6, 2024 |
Exhibit 99.2 IN THE COURT OF CHANCERY OF THE STATE OF DELAWARE LYUDMILA PAZYUK, derivatively ) on behalf of ADVERUM ) BIOTECHNOLOGIES, INC., ) ) Plaintiff, ) ) v. ) C.A. No. 2022-1062-MTZ ) PATRICK MACHADO, LAURENT ) FISCHER, SOO J. HONG, MARK ) LUPHER, RABIA GURSES OZDEN, ) JAMES SCOPA, DAWN ) SVORONOS, REED V. TUCKSON, ) SCOTT M. WHITCUP, ERIC G. ) CARTER, MEHDI GASMI, REKHA ) HEMRAJANI, THOMAS |
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| February 6, 2024 |
STIPULATION AND AGREEMENT OF SETTLEMENT, COMPROMISE AND RELEASE Exhibit 99.1 EXECUTION VERSION EFiled: Jan 24 2024 08:26PM EST Transaction ID 71868895 Case No. 2022-1062-MTZ IN THE COURT OF CHANCERY OF THE STATE OF DELAWARE LYUDMILA PAZYUK, derivatively ) on behalf of ADVERUM ) BIOTECHNOLOGIES, INC., ) ) Plaintiff, ) ) v. ) C.A. No. 2022-1062-MTZ ) PATRICK MACHADO, LAURENT ) FISCHER, SOO J. HONG, MARK ) LUPHER, RABIA GURSES OZDEN, ) JAMES SCOPA, DAWN ) SVORONO |
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| February 6, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 February 6, 2024 Date of Report (Date of earliest event reported) Adverum Biotechnologies, Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-36579 20-5258327 (State or Other Jurisdiction of Incorporation) (Comm |
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| February 5, 2024 |
Exhibit 4.1 NEITHER THIS SECURITY NOR THE SECURITIES FOR WHICH THIS SECURITY IS EXERCISABLE HAVE BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE IN RELIANCE UPON AN EXEMPTION FROM REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), OR UNDER APPLICABLE STATE SECURITIES OR BLUE SKY LAWS. THE SECURITIES ARE SUBJECT TO |
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| February 5, 2024 |
Exhibit 10.2 REGISTRATION RIGHTS AGREEMENT This Registration Rights Agreement (this “Agreement”) is made and entered into as of February 5, 2024, between Adverum Biotechnologies, Inc., a Delaware corporation (the “Company”), and each of the several investors signatory hereto (each, an “Investor” and, collectively, the “Investors”). This Agreement is made pursuant to a Securities Purchase Agreement |
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| February 5, 2024 |
Form of Securities Purchase Agreement. Exhibit 10.1 SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this “Agreement”) is dated as of February 5, 2024, between Adverum Biotechnologies, Inc., a Delaware corporation (the “Company”), and the several purchasers identified on the signature pages hereto (each, including its respective successors and assigns, a “Purchaser”). WHEREAS, subject to the terms and conditions set fo |
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| February 5, 2024 |
Entry into a Material Definitive Agreement, Unregistered Sales of Equity Securities UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 February 5, 2024 Date of Report (Date of earliest event reported) Adverum Biotechnologies, Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-36579 20-5258327 (State or Other Jurisdiction of Incorporation) (Comm |
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| January 17, 2024 |
VIA EDGAR January 17, 2024 United States Securities and Exchange Commission Division of Corporate Finance 100 F Street, N. |
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| December 8, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 December 6, 2023 Date of Report (Date of earliest event reported) Adverum Biotechnologies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36579 20-5258327 (State or other jurisdiction of incorporation) (Comm |
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| December 4, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A (Amendment No.1) CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 3, 2023 Adverum Biotechnologies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36579 20-5258327 (State or other jurisdiction of |
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| November 9, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2023 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-36579 Adverum Biotechnologies, Inc. |
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| November 9, 2023 |
Exhibit 99.1 Adverum Biotechnologies Reports Third Quarter 2023 Financial Results and Pipeline Highlights - Announced preliminary aflibercept protein levels from the on-going Phase 2 LUNA trial, suggesting that both doses are within the therapeutically active range and consistent with aflibercept levels observed in the OPTIC trial - - Reported OPTIC long-term follow-up data demonstrating that pati |
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| November 9, 2023 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 November 9, 2023 Date of Report (Date of earliest event reported) Adverum Biotechnologies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36579 20-5258327 (State or other jurisdiction of incorporation) (Comm |
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| November 6, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 November 3, 2023 Date of Report (Date of earliest event reported) Adverum Biotechnologies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36579 20-5258327 (State or other jurisdiction of incorporation) (Comm |
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| August 10, 2023 |
Exhibit 10.6 ADVERUM BIOTECHNOLOGIES, INC. CHANGE IN CONTROL AND SEVERANCE AGREEMENT This Change in Control and Severance Agreement (the “Agreement”) is made and entered into by and between (“Executive”) and Adverum Biotechnologies, Inc. (the “Company”), effective as of the latest date set forth by the signatures of the parties hereto below (the “Effective Date”). RECITALS A.It is expected that th |
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| August 10, 2023 |
Exhibit 10.5 Adverum Biotechnologies, Inc. 100 Cardinal Way Redwood City, CA 94061 O: 650.272.6269 August 3, 2023 Linda Rubinstein [Address] Re: Employment Offer, Chief Financial Officer Dear Linda, I am pleased to offer you a position with Adverum Biotechnologies, Inc. (the “Company”) as Chief Financial Officer, reporting to the Chief Executive Officer, Laurent Fischer, M.D. You will work at our |
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| August 10, 2023 |
Exhibit 10.4 Consulting Agreement This CONSULTING AGREEMENT (the “Agreement”) is made and entered into as of June 1, 2023 (the “Effective Date”) by and between ADVERUM BIOTECHNOLOGIES, INC., a Delaware corporation with an address at 100 Cardinal Way, Redwood City, CA 94063 (the “Company”), and RICHARD BECKMAN, M.D., an individual (the “Consultant”). Recitals WHEREAS, the Company has a need for cer |
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| August 10, 2023 |
Exhibit 10.3 SEPARATION AGREEMENT AND GENERAL RELEASE OF CLAIMS Richard Beckman, M.D. (“You”) and Adverum Biotechnologies, Inc. (“Adverum” or the “Company”) (collectively, the “Parties”) have agreed to enter into this Separation Agreement and General Release of Claims (“Agreement”) on the following terms. 1.Separation. You hereby resign your employment, and the Company hereby accepts such resignat |
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| August 10, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2023 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-36579 Adverum Biotechnologies, Inc. |
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| August 10, 2023 |
Exhibit 99.1 Adverum Biotechnologies Completes Enrollment of Phase 2 LUNA Trial in Wet AMD and Reports Second Quarter 2023 Financial Results - LUNA 14-week data on aflibercept protein levels anticipated in the third quarter of 2023 and preliminary efficacy and safety data anticipated in the fourth quarter of 2023 - - Combined OPTIC and LUNA trials will follow approximately 90 wet AMD subjects dose |
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| August 10, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 August 10, 2023 Date of Report (Date of earliest event reported) Adverum Biotechnologies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36579 20-5258327 (State or other jurisdiction of incorporation) (Commi |
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| August 4, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 August 3, 2023 Date of Report (Date of earliest event reported) Adverum Biotechnologies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36579 20-5258327 (State or other jurisdiction of incorporation) (Commis |
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| July 24, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Adverum Biotechnologies, Inc. (Name of Issuer) Common Stock, $0.0001 par value (Title of Class of Securities) 00773U108 (CUSIP Number) July 14, 2023 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pu |
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| June 14, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 June 13, 2023 Date of Report (Date of earliest event reported) Adverum Biotechnologies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36579 20-5258327 (State or other jurisdiction of incorporation) (Commiss |
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| June 9, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 June 9, 2023 Date of Report (Date of earliest event reported) Adverum Biotechnologies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36579 20-5258327 (State or other jurisdiction of incorporation) (Commissi |
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| May 25, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 May 22, 2023 Date of Report (Date of earliest event reported) Adverum Biotechnologies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36579 20-5258327 (State or other jurisdiction of incorporation) (Commissi |
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| May 19, 2023 |
Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 May 18, 2023 Date of Report (Date of earliest event reported) Adverum Biotechnologies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36579 20-5258327 (State or other jurisdiction of incorporation) (Commissi |
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| May 11, 2023 |
Exhibit 99.1 Adverum Biotechnologies Reports First Quarter 2023 Financial Results - Full enrollment of the Phase 2 LUNA trial in wet age-related macular degeneration (wet AMD) is anticipated in the second half of 2023 - - LUNA 14-week data, including initial aflibercept protein levels anticipated in the third quarter 2023 and preliminary efficacy and safety data anticipated in the fourth quarter o |
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| May 11, 2023 |
424B5 Table of Contents Filed Pursuant to Rule 424(b)(5) Registration No. 333-271431 Prospectus supplement (To prospectus dated May 2, 2023) $100,000,000 Common Stock We have entered into a sales agreement (the “sales agreement”), with Cowen and Company, LLC (“Cowen”), relating to shares of our common stock offered by this prospectus. In accordance with the terms of the sales agreement, we may off |
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| May 11, 2023 |
Exhibit 1.1 ADVERUM BIOTECHNOLOGIES, INC. $100,000,000 COMMON STOCK SALES AGREEMENT May 11, 2023 Cowen and Company, LLC 599 Lexington Avenue, 25th Floor New York, NY 10022 Ladies and Gentlemen: Adverum Biotechnologies, Inc. (the “Company”), confirms its agreement (this “Agreement”) with Cowen and Company, LLC (“Cowen”), as follows: 1. Issuance and Sale of Shares. The Company agrees that, from time |
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| May 11, 2023 |
EX-10.3 2 advm-20230331ex103.htm EX-10.3 Exhibit 10.3 THIRD AMENDMENT TO LEASE AGREEMENT AND FIRST AMENDMENT TO CONSENT TO SUBLEASE This Third Amendment to Lease and First Amendment to Consent to Sublease (this “Amendment”) is made as of April 3, 2023 but effective as of March 1, 2023, by and between ARE-NC REGION NO. 21, LLC, a Delaware limited liability company (“Landlord”), and ADVERUM NC, LLC, |
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| May 11, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2023 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-36579 Adverum Biotechnologies, Inc. |
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| May 11, 2023 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 May 11, 2023 Date of Report (Date of earliest event reported) Adverum Biotechnologies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36579 20-5258327 (State or other jurisdiction of incorporation) (Commissi |
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| May 11, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 May 11, 2023 Date of Report (Date of earliest event reported) Adverum Biotechnologies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36579 20-5258327 (State or other jurisdiction of incorporation) (Commissi |
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| April 28, 2023 |
ADVERUM BIOTECHNOGIES, INC. 100 Cardinal Way Redwood City, California 94063-6548 CORRESP ADVERUM BIOTECHNOGIES, INC. 100 Cardinal Way Redwood City, California 94063-6548 April 28, 2023 VIA EMAIL AND EDGAR U.S. Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Mail Stop 3720 Washington, D.C. 20549 Attn: Doris Gama RE: Adverum Biotechnogies, Inc. Registration Statement on Form S-3 File No. 333-271431 Ladies and Gentlemen: Adverum Biotechnogies |
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| April 25, 2023 |
TABLE OF CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for use of the Commission only (as perm |
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| April 25, 2023 |
Form of Preferred Stock Warrant Agreement and Warrant Certificate Exhibit 4.7 ADVERUM BIOTECHNOLOGIES, INC. AND , AS WARRANT AGENT FORM OF PREFERRED STOCK WARRANT AGREEMENT DATED AS OF ADVERUM BIOTECHNOLOGIES, INC. FORM OF PREFERRED STOCK WARRANT AGREEMENT THIS PREFERRED STOCK WARRANT AGREEMENT (this “Agreement”), dated as of [•], between ADVERUM BIOTECHNOLOGIES, INC., a Delaware corporation (the “Company”), and [•], a [corporation] [national banking association |
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| April 25, 2023 |
As filed with the Securities and Exchange Commission on April 25, 2023 S-3 Table of Contents As filed with the Securities and Exchange Commission on April 25, 2023 Registration No. |
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| April 25, 2023 |
Form of Common Stock Warrant Agreement and Warrant Certificate EX-4.6 Exhibit 4.6 ADVERUM BIOTECHNOLOGIES, INC. AND , AS WARRANT AGENT FORM OF COMMON STOCK WARRANT AGREEMENT DATED AS OF ADVERUM BIOTECHNOLOGIES, INC. FORM OF COMMON STOCK WARRANT AGREEMENT THIS COMMON STOCK WARRANT AGREEMENT (this “Agreement”), dated as of [•], between ADVERUM BIOTECHNOLOGIES, INC., a Delaware corporation (the “Company”), and [•], a [corporation] [national banking association] |
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| April 25, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for use of the Commission only (as permitted by Rule 14a-6( |
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| April 25, 2023 |
EX-FILING FEES Exhibit 107 Calculation of Filing Fee Tables Form S-3 (Form Type) ADVERUM BIOTECHNOLOGIES, INC. |
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| April 25, 2023 |
Form of Debt Securities Warrant Agreement and Warrant Certificate EX-4.8 Exhibit 4.8 ADVERUM BIOTECHNOLOGIES, INC. AND , AS WARRANT AGENT FORM OF DEBT SECURITIES WARRANT AGREEMENT DATED AS OF ADVERUM BIOTECHNOLOGIES, INC. FORM OF DEBT SECURITIES WARRANT AGREEMENT THIS DEBT SECURITIES WARRANT AGREEMENT (this “Agreement”), dated as of [•], between ADVERUM BIOTECHNOLOGIES, INC., a Delaware corporation (the “Company”), and [•], a [corporation] [national banking asso |
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| April 20, 2023 |
ADVM / Adverum Biotechnologies Inc / COMMODORE CAPITAL LP Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. |
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| April 14, 2023 |
TABLE OF CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☒ Preliminary Proxy Statement ☐ Confidential, for use of the Commission only (as permi |
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| March 30, 2023 |
As filed with the Securities and Exchange Commission on March 30, 2023 As filed with the Securities and Exchange Commission on March 30, 2023 Registration No. |
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| March 30, 2023 |
Exhibit 10.4E FOURTH AMENDMENT TO LEASE This Fourth Amendment to Lease (this “Fourth Amendment”) is entered into as of the 24th day of March, 2023, by and between HCP LS REDWOOD CITY, LLC, a Delaware limited liability company (“Landlord”), and ADVERUM BIOTECHNOLOGIES, INC., a Delaware corporation (“Tenant”). R E C I T A L S : A.Landlord and Tenant are parties to that certain Lease dated June 28, 2 |
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| March 30, 2023 |
Exhibit 21.1 SUBSIDIARIES OF ADVERUM BIOTECHNOLOGIES, INC. Name of Subsidiary Country of Incorporation Avalanche Australia PTY LTD Australia Annapurna Therapeutics, LTD Ireland Adverum NC, LLC North Carolina, USA |
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| March 30, 2023 |
Exhibit 99.1 Adverum Biotechnologies Reports Fourth Quarter and Full Year 2022 Financial Results and Provides Phase 2 LUNA Trial Update -Full enrollment of the LUNA trial anticipated in the second half of 2023- -LUNA 14-week data including initial aflibercept levels anticipated in the third quarter 2023- -LUNA preliminary efficacy and safety data anticipated in the fourth quarter of 2023- -Cash ru |
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| March 30, 2023 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 March 30, 2023 Date of Report (Date of earliest event reported) Adverum Biotechnologies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36579 20-5258327 (State or other jurisdiction of incorporation) (Commis |
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| March 30, 2023 |
Exhibit 10.20 CONFIDENTIAL CONSULTING AGREEMENT This Confidential Consulting Agreement (the “Agreement”) is executed as of the date shown on the signature page (the “Effective Date”), by and between FLG Partners, LLC, a California limited liability company (“FLG”), and the entity identified on the signature page (“Client”). RECITALS WHEREAS, FLG is in the business of providing certain financial se |
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| March 30, 2023 |
Exhibit 10.4D THIRD AMENDMENT TO LEASE (PARTIAL LEASE TERMINATION) This Third Amendment to Lease (Partial Lease Termination) (this “Third Amendment”) is entered into as of the 24th day of March, 2023, by and between HCP LS REDWOOD CITY, LLC, a Delaware limited liability company (“Landlord”), and ADVERUM BIOTECHNOLOGIES, INC., a Delaware corporation (“Tenant”). R E C I T A L S : A.Landlord and Tena |
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| March 30, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2022 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-36579 Adverum Biotechnologies, Inc. |
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| March 30, 2023 |
Exhibit 107 Calculation of Filing Fee Tables Form S-8 (Form Type) Adverum Biotechnologies, Inc. |
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| February 14, 2023 |
SC 13G/A 1 p23-0549sc13ga.htm ADVERUM BIOTECHNOLOGIES, INC. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 5)* Adverum Biotechnologies, Inc. (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 00773U108 (CUSIP Number) December 31, 2022 (Date of event which requires filing of thi |
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| February 14, 2023 |
BANK OF AMERICA CORPORATION LIMITED POWER OF ATTORNEY BANK OF AMERICA CORPORATION BANK OF AMERICA CORPORATION LIMITED POWER OF ATTORNEY BANK OF AMERICA CORPORATION, a Delaware corporation (the "Corporation"), does hereby make, constitute, and appoint each of Kelvin Kwok, Tolu Tade, Andres Ortiz Custodio, Frank Lui, James Todd, Zainab Tarteel, Hannah Chae and Monica Yako as an attorney-in-fact for the Corporation acting for the Corporation and in the Corporation's name, place and stead, for the Corporation's use and benefit, to bind the Corporation by their execution of those agreements, forms and documents related specifically to Section 13 and Section 16 of the Securities Exchange Act of 1934, and other large shareholder and short position regulatory reporting requirements in other jurisdictions. |
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| February 14, 2023 |
ADVM / Adverum Biotechnologies Inc / BANK OF AMERICA CORP /DE/ Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. N/A)* Adverum Biotechnologies, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 00773U108 (CUSIP Number) December 31, 2022 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to wh |
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| February 14, 2023 |
ADVM / Adverum Biotechnologies Inc / Soleus Capital Master Fund, L.P. - SC 13G/A Passive Investment SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* Adverum Biotechnologies, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 00773U108 (CUSIP Number) December 31, 2022 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuan |
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| February 14, 2023 |
SC 13G/A 1 p23-0590sc13ga.htm ADVERUM BIOTECHNOLOGIES, INC. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 3)* Adverum Biotechnologies, Inc. (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 00773U108 (CUSIP Number) December 31, 2022 (Date of Event Which Requires Filing of Thi |
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| February 8, 2023 |
ADVM / Adverum Biotechnologies Inc / BML Investment Partners, L.P. - NONE Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* Adverum Biotechnologies, Inc. (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 00773U108 (CUSIP Number) Calendar Year 2022 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to desig |
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| December 30, 2022 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (RULE 13D-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) (Amendment No. 3)* Adverum Biotechnologies, Inc. (Name of Issuer) Common Stock $0.0001 par value (Title of Class of Securities) 00773U108 (CUSIP Number) Christopher P. Davis, Esq. Kleinb |
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| December 13, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 December 12, 2022 Date of Report (Date of earliest event reported) Adverum Biotechnologies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36579 20-5258327 (State or other jurisdiction of incorporation) (Com |
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| November 25, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 November 18, 2022 Date of Report (Date of earliest event reported) Adverum Biotechnologies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36579 20-5258327 (State or other jurisdiction of incorporation) (Com |
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| November 10, 2022 |
Exhibit 99.1 Adverum Biotechnologies Reports Third Quarter 2022 Financial Results - First subject dosed in our Phase 2 LUNA trial with Ixo-vec (ixoberogene soroparvovec, formerly referred to as ADVM-022) and anticipate preliminary data throughout 2023 - Cash runway into 2025 prioritizing Ixo-vec clinical development in wet age-related macular degeneration (wet AMD) REDWOOD CITY, Calif., November 1 |
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| November 10, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 November 10, 2022 Date of Report (Date of earliest event reported) Adverum Biotechnologies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36579 20-5258327 (State or other jurisdiction of incorporation) (Com |
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| November 10, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2022 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-36579 Adverum Biotechnologies, Inc. |
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| September 2, 2022 |
ADVM / Adverum Biotechnologies Inc / Soleus Capital Master Fund, L.P. - SC 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Adverum Biotechnologies, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 00773U108 (CUSIP Number) August 31, 2022 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which t |
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| September 2, 2022 |
EXHIBIT A JOINT FILING AGREEMENT Soleus Capital Master Fund, L.P., a Cayman Islands exempted limited partnership, Soleus Capital, LLC, a Delaware limited liability company, Soleus Capital Group, LLC, a Delaware limited liability company, and Mr. Guy Levy, an individual, hereby agree to file jointly the statement on Schedule 13G to which this Joint Filing Agreement is attached, and any amendments t |
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| August 11, 2022 |
Exhibit 10.2 SEPARATION AGREEMENT AND GENERAL RELEASE OF CLAIMS Rupert D?Souza (?You?) and Adverum Biotechnologies, Inc. (?Adverum? or the ?Company?) (collectively, the ?Parties?) have agreed to enter into this Separation Agreement and General Release (?Agreement?) on the following terms. 1.Separation. You acknowledge that you resigned your positions as Chief Financial Officer, Principal Financial |
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| August 11, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 August 11, 2022 Date of Report (Date of earliest event reported) Adverum Biotechnologies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36579 20-5258327 (State or other jurisdiction of incorporation) (Commi |
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| August 11, 2022 |
As filed with the Securities and Exchange Commission on August 11, 2022 As filed with the Securities and Exchange Commission on August 11, 2022 Registration No. |
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| August 11, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2022 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-36579 Adverum Biotechnologies, Inc. |
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| August 11, 2022 |
Promotion Letter between Adverum Biotechnologies, Inc. and John Rakow, dated as of July 1 Exhibit 10.1B July 15, 2021 John Rakow Re: Promotion Letter, General Counsel Dear John, I am pleased to offer you a promotion with Adverum Technologies, Inc. (the ?Company?) to the General Counsel role, reporting to the Chief Operating Officer, Peter Soparkar. The terms of this letter amend your January 20, 2020 Offer Letter (?Offer Letter?). You will work at our office located in Redwood City, Ca |
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| August 11, 2022 |
Employment Agreement between Adverum Biotechnologies, Inc. and John Rakow, dated as of January 2 EXHIBIT 10.1A January 20, 2020 John Rakow [Address] Re: Employment Offer, Legal Advisor Dear John, I am pleased to offer you a position with Adverum Biotechnologies, Inc. (the ?Company?) as Legal Advisor, reporting to the Chief Legal Officer, Peter Soparkar. You will work at our office located in Redwood City. Of course, the Company may change your position, duties, and work location from time to |
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| August 11, 2022 |
Promotion Letter between Adverum Biotechnologies, Inc. and John Rakow, dated as of June 4, 2022. Exhibit 10.1C June 4, 2022 John Rakow [address] Dear John, This letter confirms the terms of your promotion to Senior Vice President, General Counsel, and your agreement to serve as Adverum?s Acting Chief Financial Officer and Principal Financial Officer. I am excited to share with you that your promotion is effective as of June 3, 2022. With this promotion, your job title is Senior Vice President |
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| August 11, 2022 |
Exhibit 99.1 - Dosing first Phase 2 LUNA trial participant with ixoberogene soroparvovec (Ixo-vec, formerly referred to as ADVM-022) on track for the third quarter of 2022 and preliminary data anticipated throughout 2023 - Cash runway extended into 2025 to prioritize the clinical development of Ixo-vec and provide additional resources beyond anticipated one-year topline results of the Phase 2 LUNA |
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| August 11, 2022 |
Exhibit 107 Calculation of Filing Fee Tables Form S-8 (Form Type) Adverum Biotechnologies, Inc. |
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| August 11, 2022 |
Adverum Biotechnologies, Inc. 2014 Employee Stock Purchase Plan, as amended and restated. Exhibit 10.4 ADVERUM BIOTECHNOLOGIES, INC. 2014 EMPLOYEE STOCK PURCHASE PLAN AMENDED AND RESTATED ON JUNE 10, 2022 ARTICLE I PURPOSE, SCOPE AND ADMINISTRATION OF THE PLAN 1.1.Purpose and Scope. The purpose of the Adverum Biotechnologies, Inc. 2014 Employee Stock Purchase Plan, as it may be amended from time to time, (the ?Plan?) is to assist employees of Adverum Biotechnologies, Inc., a Delaware c |
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| August 11, 2022 |
Exhibit 10.3 CONSULTING AGREEMENT THIS CONSULTING AGREEMENT (the ?Agreement?) is effective as of June 3, 2022 (the ?Effective Date?), by and between ADVERUM BIOTECHNOLOGIES, INC., a Delaware corporation (the ?Company?), and NANCY E. PECOTA, an individual (the ?Consultant?). Recitals WHEREAS, Company has need for certain professional services, and Consultant desires to support Company by providing |
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| July 6, 2022 |
Costs Associated with Exit or Disposal Activities UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 July 6, 2022 Date of Report (Date of earliest event reported) Adverum Biotechnologies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36579 20-5258327 (State or other jurisdiction of incorporation) (Commissi |
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| June 16, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 June 10, 2022 Date of Report (Date of earliest event reported) Adverum Biotechnologies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36579 20-5258327 (State or other jurisdiction of incorporation) (Commiss |
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| June 6, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 June 3, 2022 Date of Report (Date of earliest event reported) Adverum Biotechnologies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36579 20-5258327 (State or other jurisdiction of incorporation) (Commissi |
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| May 12, 2022 |
Adverum Biotechnologies Reports First Quarter 2022 Financial Results Exhibit 99.1 Adverum Biotechnologies Reports First Quarter 2022 Financial Results REDWOOD CITY, Calif., May 12, 2022 - Adverum Biotechnologies, Inc. (Nasdaq: ADVM), a clinical-stage gene therapy company targeting unmet medical needs in ocular and rare diseases, today reported financial results for the first quarter ended March 31, 2022. ?We remain on track to dose the first patient in our planned |
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| May 12, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 May 12, 2022 Date of Report (Date of earliest event reported) Adverum Biotechnologies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36579 20-5258327 (State or other jurisdiction of incorporation) (Commissi |
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| May 12, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2022 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-36579 Adverum Biotechnologies, Inc. |
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| May 10, 2022 |
ADVM / Adverum Biotechnologies Inc / BML Investment Partners, L.P. - NONE Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. n/a )* Adverum Biotechnologies, Inc. (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 00773U108 (CUSIP Number) May 04, 2022 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designat |
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| April 26, 2022 |
TABLE OF CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No.?) Filed by the Registrant ? ? ? Filed by a Party other than the Registrant ?? Check the appropriate box: ?? ? ? Preliminary Proxy Statement ?? ? ? Confidential, for use of the Commission on |
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| April 26, 2022 |
DEFA14A 1 ny20003107x2defa14a.htm DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for use of the Comm |
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| March 29, 2022 |
EXHIBIT 10.5B THIS AGREEMENT OF SUBLEASE (?Sublease?) made as of the 26th day of October, 2021, by and between ADVERUM NC, LLC (?Sublandlord?) and JAGUAR GENE THERAPY, LLC (?Subtenant?). WITNESSETH: WHEREAS, Sublandlord has leased the Premises (as hereinafter defined) from ARE-NC REGION NO. 21, LLC (the ?Landlord?) pursuant to a certain Lease Agreement dated January 8, 2021, as amended by that cer |
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| March 29, 2022 |
Exhibit 10.19 May 21, 2021 Brigit Riley [Address] Re: Employment Offer, Chief Scientific Officer Dear Brigit, I am pleased to offer you a position with Adverum Technologies, Inc. (the ?Company?) as Chief Scientific Officer, reporting to the Chief Executive Officer, Laurent Fischer, M.D. You will work at our office located in Redwood City, CA. Of course, the Company may change your position, duties |
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| March 29, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 March 29, 2022 Date of Report (Date of earliest event reported) Adverum Biotechnologies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36579 20-5258327 (State or other jurisdiction of incorporation) (Commis |
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| March 29, 2022 |
As filed with the Securities and Exchange Commission on March 29, 2022 As filed with the Securities and Exchange Commission on March 29, 2022 Registration No. |
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| March 29, 2022 |
EXHIBIT 10.4C SECOND AMENDMENT TO LEASE (PARTIAL LEASE TERMINATION) This Second Amendment to Lease (Partial Lease Termination) (this ?Second Amendment?) is entered into as of the 1st day of November, 2021, by and between HCP LS REDWOOD CITY, LLC, a Delaware limited liability company (?Landlord?), and ADVERUM BIOTECHNOLOGIES, INC., a Delaware corporation (?Tenant?). R E C I T A L S : A.Landlord and |
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| March 29, 2022 |
between Adverum Biotechnologies, Inc. and Exhibit 10.22 December 29, 2021 Richard Beckman [Address] Re: Employment Offer, Chief Medical Officer Dear Richard, I am pleased to offer you a position with Adverum Technologies, Inc. (the ?Company?) as Chief Medical Officer, reporting to the Chief Executive Officer, Laurent Fischer, M.D. Although you will be based out of our office located in Redwood City, California, this is a remote role so yo |
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| March 29, 2022 |
EXHIBIT 10.8E ADVERUM BIOTECHNOLOGIES, INC. 2014 EQUITY INCENTIVE AWARD PLAN PERFORMANCE STOCK UNIT AWARD GRANT NOTICE Adverum Biotechnologies, Inc., a Delaware corporation, (the ?Company?), pursuant to its 2014 Equity Incentive Award Plan, as amended from time to time (the ?Plan?), hereby grants to the holder listed below (the ?Participant?), an award of performance-based restricted stock units ( |
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| March 29, 2022 |
Exhibit 107 Calculation of Filing Fee Tables Form S-8 (Form Type) Adverum Biotechnologies, Inc. |
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| March 29, 2022 |
Adverum Biotechnologies Reports Fourth Quarter and Full Year 2021 Financial Results Exhibit 99.1 Adverum Biotechnologies Reports Fourth Quarter and Full Year 2021 Financial Results REDWOOD CITY, Calif., March 29, 2022 - Adverum Biotechnologies, Inc. (Nasdaq: ADVM), a clinical-stage gene therapy company targeting unmet medical needs in ocular and rare diseases, today reported financial results for the fourth quarter and full year ended December 31, 2021 and provided a business upd |
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| March 29, 2022 |
Exhibit 10.20 November 11, 2021 Rupert D?Souza [Address] Re: Employment Offer, Chief Financial Officer Dear Rupert, I am pleased to offer you a position with Adverum Biotechnologies, Inc. (the ?Company?) as Chief Financial Officer, reporting to the Chief Executive Officer, Laurent Fischer, M.D. You will work at our office located in Redwood City, CA. Of course, the Company may change your position |
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| March 29, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-K ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2021 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-36579 Adverum Biotechnologies, Inc. |
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| March 29, 2022 |
Exhibit 10.21 December 3, 2021 Setareh Seyedkazemi [Address] Re: Employment Offer, Chief Development Officer Dear Setareh, I am pleased to offer you a position with Adverum Technologies, Inc. (the ?Company?) as Chief Development Officer, reporting to the Chief Executive Officer, Laurent Fischer, M.D. You will work at our office located in Redwood City, CA. Of course, the Company may change your po |
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| March 29, 2022 |
EXHIBIT 10.9 ADVERUM BIOTECHNOLOGIES, INC. CHANGE IN CONTROL AND SEVERANCE AGREEMENT This Change in Control and Severance Agreement (the ?Agreement?) is made and entered into by and between [] (?Executive?) and Adverum Biotechnologies, Inc. (the ?Company?), effective as of the latest date set forth by the signatures of the parties hereto below (the ?Effective Date?). RECITALS A.It is expected that |
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| March 29, 2022 |
Exhibit 21.1 SUBSIDIARIES OF ADVERUM BIOTECHNOLOGIES, INC. Name of Subsidiary Country of Incorporation Avalanche Australia PTY LTD Australia Annapurna Therapeutics, LTD Ireland Adverum NC, LLC North Carolina, USA |
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| March 29, 2022 |
Exhibit 10.4D SUBLEASE (REDWOOD CITY, CALIFORNIA) THIS SUBLEASE (this ?Sublease?) is entered into as of November 1, 2021 (the ?Effective Date?), by and between REVOLUTION MEDICINES, INC., a Delaware corporation (?Sublandlord?), and ADVERUM BIOTECHNOLOGIES, INC., a Delaware corporation (?Subtenant?). Sublandlord and Subtenant may each be referred to herein as a ?Party?, and collectively, the ?Parti |
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| March 17, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 March 17, 2022 Date of Report (Date of earliest event reported) Adverum Biotechnologies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36579 20-5258327 (State or other jurisdiction of incorporation) (Commis |
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| February 14, 2022 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 4)* Adverum Biotechnologies, Inc. (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 00773U108 (CUSIP Number) December 31, 2021 (Date of event which requires filing of this statement) Check the appropriate box to designate the rule |
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| February 11, 2022 |
ADVM / Adverum Biotechnologies Inc / ORBIMED ADVISORS LLC - AMENDMENT NO. 2 Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. |
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| February 11, 2022 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 2)* Adverum Biotechnologies, Inc. (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 00773U108 (CUSIP Number) December 31, 2021 (Date of Event Which Requires Filing of This Statement) Check the appropriate box to designate the rule |
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| February 11, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* Adverum Biotechnologies, Inc. (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 00773U108 (CUSIP Number) December 31, 2021 (Date of Event which Requires Filing of this Statement) Check the appropriate box to design |
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| February 11, 2022 |
CUSIP No. 00773U108 SCHEDULE 13G Page 8 of 8 Pages EXHIBIT A JOINT FILING AGREEMENT The undersigned hereby agree that the Statement on this Schedule 13G dated February 11, 2022 (the ?Schedule 13G?), with respect to the Common Stock, par value $0.0001 per share, of Adverum Biotechnologies, Inc. is filed on behalf of each of us pursuant to and in accordance with the provisions of Rule 13d-1(k) under |
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| December 21, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 December 16, 2021 Date of Report (Date of earliest event reported) Adverum Biotechnologies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36579 20-5258327 (State or other jurisdiction of incorporation) (Com |
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| December 6, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 November 12, 2021 Date of Report (Date of earliest event reported) Adverum Biotechnologies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36579 20-5258327 (State or other jurisdiction of incorporation) (Com |
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| November 19, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 November 18, 2021 Date of Report (Date of earliest event reported) Adverum Biotechnologies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36579 20-5258327 (State or other jurisdiction of incorporation) (Com |
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| November 4, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 November 4, 2021 Date of Report (Date of earliest event reported) Adverum Biotechnologies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36579 20-5258327 (State or other jurisdiction of incorporation) (Comm |
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| November 4, 2021 |
Exhibit 10.2 CONSULTING AGREEMENT This CONSULTING AGREEMENT (the ?Agreement?) is made and entered into as of October 1, 2021 (the ?Effective Date?) by and between ADVERUM BIOTECHNOLOGIES, INC., a Delaware corporation with an address at 800 Saginaw Drive, Redwood City, CA 94063 (the ?Company?), and ANGELA THEDINGA, an individual (the ?Consultant?). Recitals WHEREAS, the Company has a need for certa |
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| November 4, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2021 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-36579 Adverum Biotechnologies, Inc. |
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| November 4, 2021 |
Adverum Reports Third Quarter 2021 Results Exhibit 99.1 Adverum Reports Third Quarter 2021 Results REDWOOD CITY, Calif., November 4, 2021 ? Adverum Biotechnologies, Inc. (Nasdaq: ADVM), a clinical-stage gene therapy company targeting unmet medical needs in ocular and rare diseases, today reported financial results for the third quarter ending September 30, 2021 and provided a business update. ?Last month we presented new data at scientific |
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| November 4, 2021 |
Exhibit 10.1 SEPARATION AGREEMENT AND GENERAL RELEASE OF CLAIMS Angela Thedinga (?You?) and Adverum Biotechnologies, Inc. (?Adverum? or the ?Company?) (collectively, the ?Parties?) have agreed to enter into this Separation Agreement and General Release (?Agreement?) on the following terms. 1.Separation. You hereby resign your employment, and the Company hereby accepts such resignation, effective O |
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| October 28, 2021 |
Entry into a Material Definitive Agreement UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 October 26, 2021 Date of Report (Date of earliest event reported) Adverum Biotechnologies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36579 20-5258327 (State or other jurisdiction of incorporation) (Comm |
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| October 22, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 October 22, 2021 Date of Report (Date of earliest event reported) Adverum Biotechnologies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36579 20-5258327 (State or other jurisdiction of incorporation) (Comm |
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| October 13, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 October 1, 2021 Date of Report (Date of earliest event reported) Adverum Biotechnologies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36579 20-5258327 (State or other jurisdiction of incorporation) (Commi |
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| September 9, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 September 2, 2021 Date of Report (Date of earliest event reported) Adverum Biotechnologies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36579 20-5258327 (State or other jurisdiction of incorporation) (Com |
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| August 16, 2021 |
ADVM / Adverum Biotechnologies Inc / RA CAPITAL MANAGEMENT, L.P. - SC 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Adverum Biotechnologies, Inc. (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 00773U108 (CUSIP Number) August 16, 2021 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate |
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| August 11, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 August 9, 2021 Date of Report (Date of earliest event reported) Adverum Biotechnologies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36579 20-5258327 (State or other jurisdiction of incorporation) (Commis |
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| August 5, 2021 |
EX-10.3 4 ex103clarkjuliexofferlett.htm EX-10.3 Exhibit 10.3 [Adverum Biotechnologies, Inc. Letterhead] April 2, 2020 Julie Christine Clark Via email delivery: [email] Re: Employment Offer, Executive Medical Director Dear Julie, I am pleased to offer you a position with Adverum Biotechnologies, Inc. (the “Company”) as Executive Medical Director reporting to the Chief Medical Officer, Aaron Osborne |
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| August 5, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2021 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-36579 Adverum Biotechnologies, Inc. |
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| August 5, 2021 |
Change in Control and Severance Agreement with Julie Clark, dated May 25, 2021. Exhibit 10.5 ADVERUM BIOTECHNOLOGIES, INC. CHANGE IN CONTROL AND SEVERANCE AGREEMENT This Change in Control and Severance Agreement (the ?Agreement?) is made and entered into by and between Julie Christine Clark, M.D. (?Executive?) and Adverum Biotechnologies, Inc. (the ?Company?), effective as of the latest date set forth by the signatures of the parties hereto below (the ?Effective Date?). RECIT |
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| August 5, 2021 |
Exhibit 10.1 FIRST AMENDMENT TO LEASE This FIRST AMENDMENT TO LEASE ("First Amendment") is made and entered into as of April 19, 2021 (the ?Effective Date?), by and between HCP LS REDWOOD CITY, LLC, a Delaware limited liability company ("Landlord"), and ADVERUM BIOTECHNOLOGIES, INC., a Delaware corporation ("Tenant"). R E C I T A L S : A. Landlord and Tenant are parties to the Lease dated June 28, |
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| August 5, 2021 |
Adverum Reports Second Quarter 2021 Results Exhibit 99.1 Adverum Reports Second Quarter 2021 Results REDWOOD CITY, Calif., August 5, 2021 ? Adverum Biotechnologies, Inc. (Nasdaq: ADVM), a clinical-stage gene therapy company targeting unmet medical needs in ocular and rare diseases, today reported financial results for the second quarter ended June 30, 2021. ?Adverum has an experienced team and is well capitalized to execute our current plan |
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| August 5, 2021 |
Change in Control and Severance Agreement with Chris DeRespino, dated February 1, 2021. Exhibit 10.7 ADVERUM BIOTECHNOLOGIES, INC. CHANGE IN CONTROL AND SEVERANCE AGREEMENT This Change in Control and Severance Agreement (the ?Agreement?) is made and entered into by and between Chris DeRespino (?Executive?) and Adverum Biotechnologies, Inc. (the ?Company?), effective as of the latest date set forth by the signatures of the parties hereto below (the ?Effective Date?). RECITALS A.It is |
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| August 5, 2021 |
Exhibit 10.6 [Adverum Biotechnologies, Inc. Letterhead] February 1, 2021 Chris DeRespino [address] [city, state, zip] Re: Employment Offer, Chief Business Officer Dear Chris, I am pleased to offer you a position with Adverum Biotechnologies, Inc. (the ?Company?) as Chief Business Officer, reporting to the Chief Executive Officer, Laurent Fischer. You will work at our office located in Redwood City |
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| August 5, 2021 |
Promotion Letter between Adverum Biotechnologies, Inc. and Julie Clark, dated as of May 22, 2021. Exhibit 10.4 [Adverum Biotechnologies, Inc. Letterhead] May 22, 2021 Julie Christine Clark, M.D. [address] [city, state, zip] Re: Promotion Letter, Chief Medical Officer Dear Julie, I am pleased to offer you a promotion with Adverum Technologies, Inc. (the ?Company?) as Chief Medical Officer, reporting to the Chief Executive Officer, Laurent Fischer, M.D. The terms of this letter supersede and rep |
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| August 5, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 August 5, 2021 Date of Report (Date of earliest event reported) Adverum Biotechnologies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36579 20-5258327 (State or other jurisdiction of incorporation) (Commis |
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| August 5, 2021 |
EXHIBIT 10.2 Consulting Agreement This Consulting Agreement (the ?Agreement?) is made and entered into as of June 24, 2021 (the ?Effective Date?), by and between Adverum Biotechnologies, Inc., a Delaware corporation with an address at 800 Saginaw Drive, Redwood City, CA 94063 (the ?Company?), and Leone Patterson, an individual, (the ?Consultant?). Recitals Whereas, Company has need for certain pro |
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| June 24, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 June 20, 2021 Date of Report (Date of earliest event reported) Adverum Biotechnologies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36579 20-5258327 (State or other jurisdiction of incorporation) (Commiss |
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| May 14, 2021 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 May 12, 2021 Date of Report (Date of earliest event reported) Adverum Biotechnologies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36579 20-5258327 (State or other jurisdiction of incorporation) (Commissi |
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| May 12, 2021 |
SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. |
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| May 11, 2021 |
SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. |
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| May 10, 2021 |
SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. |
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| May 10, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.) Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Defini |
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| May 6, 2021 |
Exhibit 10.4 CONSULTING AGREEMENT THIS CONSULTING AGREEMENT (the ?Agreement?) is made and entered into as of February 2, 2021 (the ?Effective Date?), by and between ADVERUM BIOTECHNOLOGIES, INC., a Delaware corporation with an address at 800 Saginaw Drive, Redwood City, CA 94063 (the ?Company?), and THOMAS LEUNG, an individual, with an address at (the ?Consultant?). Recitals WHEREAS, Company has n |
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| May 6, 2021 |
Non-Employee Director Compensation Policy, effective March 31, 2021. Exhibit 10.6 ADVERUM BIOTECHNOLOGIES, INC. NON-EMPLOYEE DIRECTOR COMPENSATION POLICY ADOPTED BY THE COMPENSATION COMMITTEE: MARCH 31, 2021 Each member of the board of directors (the ?Board?) of Adverum Biotechnologies, Inc. (the ?Company?) who is a Non-Employee Director (as defined in the Adverum Biotechnologies, Inc. 2014 Equity Incentive Award Plan (the ?Plan?)) will be eligible to receive cash |
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| May 6, 2021 |
Separation Agreement between Adverum Biotechnologies, Inc. and Aaron Osborne, dated April 7, 2021. Exhibit 10.1 SEPARATION AGREEMENT AND GENERAL RELEASE OF CLAIMS Aaron Osborne (?You?) and Adverum Biotechnologies, Inc. (?Adverum? or the ?Company?) (collectively, the ?Parties?) have agreed to enter into this Separation Agreement and General Release (?Agreement?) on the following terms. 1. Separation. You acknowledge that your resignation from your role as Chief Medical Officer was effective as o |
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| May 6, 2021 |
Non-Employee Director Compensation Policy, effective May 5, 2021. Exhibit 10.7 ADVERUM BIOTECHNOLOGIES, INC. NON-EMPLOYEE DIRECTOR COMPENSATION POLICY ADOPTED BY THE COMPENSATION COMMITTEE: MAY 5, 2021 Each member of the board of directors (the ?Board?) of Adverum Biotechnologies, Inc. (the ?Company?) who is a Non-Employee Director (as defined in the Adverum Biotechnologies, Inc. 2014 Equity Incentive Award Plan (the ?Plan?)) will be eligible to receive cash and |
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| May 6, 2021 |
Adverum Reports First Quarter 2021 Results EX-99.1 2 exhibit9915621pressrelease.htm EX-99.1 Exhibit 99.1 Adverum Reports First Quarter 2021 Results REDWOOD CITY, Calif., May 6, 2021 – Adverum Biotechnologies, Inc. (Nasdaq: ADVM), a clinical-stage gene therapy company targeting unmet medical needs in ocular and rare diseases, today reported financial results for the first quarter ended March 31, 2021. “Our management team and Board are focu |
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| May 6, 2021 |
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| May 6, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 May 6, 2021 Date of Report (Date of earliest event reported) Adverum Biotechnologies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36579 20-5258327 (State or other jurisdiction of incorporation) (Commissio |
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| May 6, 2021 |
between Adverum Biotechnologies, Inc. and Thomas Leung, dated as of February 2, 2021. Exhibit 10.3 SEPARATION AGREEMENT AND GENERAL RELEASE OF CLAIMS Chun-Ho ?Thomas? Leung (?You?) and Adverum Biotechnologies, Inc. (?Adverum? or the ?Company?) (collectively, the ?Parties?) have agreed to enter into this Separation Agreement and General Release (?Agreement?) on the following terms. 1. Separation. You acknowledge that your resignation from your role as Chief Financial Officer was eff |
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| May 6, 2021 |
EX-10.5 6 advm-20210331ex105leasenor.htm EX-10.5 Exhibit 10.5 [[***]] = CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS DOCUMENT, MARKED BY [[***]], HAS BEEN OMITTED BECAUSE IT IS NOT MATERIAL AND IS THE TYPE THAT THE REGISTRANT TREATS AS PRIVATE OR CONFIDENTIAL. LEASE AGREEMENT THIS LEASE AGREEMENT (this “Lease”) is made this 8th day of January, 2021, between ARE-NC REGION NO. 21, LLC, a Delaw |
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| May 6, 2021 |
Consulting Agreement between Adverum Biotechnologies, Inc. and Aaron Osborne, dated March 18, 2021. Exhibit 10.2 CONSULTING AGREEMENT THIS CONSULTING AGREEMENT (the ?Agreement?) is made and entered into as of March 18, 2021 (the ?Effective Date?), by and between ADVERUM BIOTECHNOLOGIES, INC., a Delaware corporation with an address at 800 Saginaw Drive, Redwood City, CA 94063 (the ?Company?), and AARON OSBORNE, an individual, with an address at (the ?Consultant?). Recitals WHEREAS, Company has ne |
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| May 6, 2021 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2021 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-36579 Adverum Biotechnologies, Inc. |
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| May 6, 2021 |
SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. |
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| May 6, 2021 |
SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. |
