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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
| Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | |||
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1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security |
5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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| Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
| Stock Option (Right to Buy) | (1) | 11/01/2026 | Common Stock | 1,250 | $ 30.5 | D | |
| Stock Option (Right to Buy) | (1) | 09/12/2028 | Common Stock | 2,000 | $ 61.5 | D | |
| Stock Option (Right to Buy) | (1) | 03/24/2029 | Common Stock | 8,000 | $ 54.1 | D | |
| Stock Option (Right to Buy) | (1) | 03/29/2031 | Common Stock | 4,500 | $ 94.5 | D | |
| Stock Option (Right to Buy) | (2) | 08/15/2032 | Common Stock | 2,500 | $ 14 | D | |
| Stock Option (Right to Buy) | (3) | 05/24/2033 | Common Stock | 2,500 | $ 9.6 | D | |
| Reporting Owner Name / Address | Relationships | |||
| Director | 10% Owner | Officer | Other | |
| Kiss Szilard C/O ADVERUM BIOTECHNOLOGIES, INC. 100 CARDINAL WAY REDWOOD CITY, CA 94063 |
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| /s/ John Rakow, Attorney-in-Fact | 06/20/2024 | |
| **Signature of Reporting Person | Date |
| * | If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
| ** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
| (1) | Stock option is fully vested and exercisable. |
| (2) | The shares subject to the option vest in equal monthly installments over two years, such that all of the shares subject to the option shall become vested and exercisable as of August 16, 2024, subject to the Reporting Person's continued service with the Issuer on each such vesting date. |
| (3) | 50% of the shares subject to the option vested on March 25, 2024, and the remainder of the shares subject to the option vest in equal monthly installments thereafter through March 25, 2025, subject to the Reporting Person's continued service with the Issuer on each such vesting date. |