| Name | Relationship | Address | Signature | Signature date | CIK |
|---|---|---|---|---|---|
| Fischer Laurent | CEO, PRESIDENT AND DIRECTOR, Director | C/O ADVERUM BIOTECHNOLOGIES, INC., 100 CARDINAL WAY, REDWOOD CITY | /s/ Aneta Fergson, Attorney-in-Fact | 20 Jun 2025 | 0001379344 |
| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Underlying Class | Amount | Exercise Price | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | ADVM | Stock Option (Right to Buy) | Disposed to Issuer | $0 | -120,000 | -100% | $0.000000 | 0 | 17 Jun 2025 | Common Stock | 120,000 | $237.00 | Direct | F1, F2 |
| transaction | ADVM | Stock Option (Right to Buy) | Award | $0 | +120,000 | $0.000000 | 120,000 | 17 Jun 2025 | Common Stock | 120,000 | $10.14 | Direct | F1, F2 | |
| transaction | ADVM | Stock Option (Right to Buy) | Disposed to Issuer | $0 | -68,000 | -100% | $0.000000 | 0 | 17 Jun 2025 | Common Stock | 68,000 | $134.40 | Direct | F1, F3 |
| transaction | ADVM | Stock Option (Right to Buy) | Award | $0 | +68,000 | $0.000000 | 68,000 | 17 Jun 2025 | Common Stock | 68,000 | $10.14 | Direct | F1, F3 | |
| transaction | ADVM | Stock Option (Right to Buy) | Disposed to Issuer | $0 | -45,499 | -100% | $0.000000 | 0 | 17 Jun 2025 | Common Stock | 45,499 | $24.80 | Direct | F1, F4 |
| transaction | ADVM | Stock Option (Right to Buy) | Award | $0 | +45,499 | $0.000000 | 45,499 | 17 Jun 2025 | Common Stock | 45,499 | $10.14 | Direct | F1, F4 | |
| transaction | ADVM | Stock Option (Right to Buy) | Disposed to Issuer | $0 | -63,000 | -100% | $0.000000 | 0 | 17 Jun 2025 | Common Stock | 63,000 | $12.90 | Direct | F1, F5, F6 |
| transaction | ADVM | Stock Option (Right to Buy) | Award | $0 | +63,000 | $0.000000 | 63,000 | 17 Jun 2025 | Common Stock | 63,000 | $10.14 | Direct | F1, F5, F6 | |
| transaction | ADVM | Stock Option (Right to Buy) | Disposed to Issuer | $0 | -31,500 | -100% | $0.000000 | 0 | 17 Jun 2025 | Common Stock | 31,500 | $12.90 | Direct | F1, F5, F7 |
| transaction | ADVM | Stock Option (Right to Buy) | Award | $0 | +31,500 | $0.000000 | 31,500 | 17 Jun 2025 | Common Stock | 31,500 | $10.14 | Direct | F1, F5, F7 | |
| transaction | ADVM | Stock Option (Right to Buy) | Disposed to Issuer | $0 | -58,497 | -100% | $0.000000 | 0 | 17 Jun 2025 | Common Stock | 58,497 | $10.90 | Direct | F1, F8 |
| transaction | ADVM | Stock Option (Right to Buy) | Award | $0 | +58,497 | $0.000000 | 58,497 | 17 Jun 2025 | Common Stock | 58,497 | $10.14 | Direct | F1, F8 | |
| transaction | ADVM | Stock Option (Right to Buy) | Disposed to Issuer | $0 | -67,502 | -100% | $0.000000 | 0 | 17 Jun 2025 | Common Stock | 67,502 | $10.90 | Direct | F1, F9, F10 |
| transaction | ADVM | Stock Option (Right to Buy) | Award | $0 | +67,502 | $0.000000 | 67,502 | 17 Jun 2025 | Common Stock | 67,502 | $10.14 | Direct | F1, F9, F10 | |
| transaction | ADVM | Stock Option (Right to Buy) | Disposed to Issuer | $0 | -110,420 | -100% | $0.000000 | 0 | 17 Jun 2025 | Common Stock | 110,420 | $19.90 | Direct | F1, F11, F12 |
| transaction | ADVM | Stock Option (Right to Buy) | Award | $0 | +110,420 | $0.000000 | 110,420 | 17 Jun 2025 | Common Stock | 110,420 | $10.14 | Direct | F1, F11, F12 |
| Id | Content |
|---|---|
| F1 | Effective March 21, 2024, the Issuer effected a reverse stock split (the "Reverse Split") whereby every ten shares of its issued and outstanding Common Stock were automatically combined into one share of Common Stock. In connection with the Reverse Split, each stock option to purchase ten shares of Common Stock was automatically combined into a stock option to purchase one share of Common Stock and the exercise prices of such options were multiplied by ten. |
| F2 | The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on June 15, 2020 and is fully vested. |
| F3 | The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on February 16, 2021 and is fully vested. |
| F4 | The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on August 6, 2021 and is fully vested. |
| F5 | The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on March 8, 2022. |
| F6 | Twenty-five percent (25%) of the total number of shares subject to the option vested and became exercisable on the first anniversary of February 18, 2022, and 1/48 of the total number of shares subject to the option vest and become exercisable each month thereafter, such that all of the shares subject to the option shall become vested and exercisable as of February 18, 2026, provided the Reporting Person continues to provide Continuous Service (as defined in the Issuer's 2014 Equity Incentive Plan) on each such vesting date. |
| F7 | The options vest in equal monthly installments over two years from August 16, 2023, such that all of the shares subject to the option shall become vested and exercisable as of August 16, 2025, provided the Reporting Person continues to provide Continuous Service (as defined in the Issuer's 2014 Equity Incentive Plan) on each such vesting date. |
| F8 | The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on September 14, 2022 and is fully vested. |
| F9 | The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on September 14, 2022. |
| F10 | The options vest in equal monthly installments over three years from September 14, 2022, such that all of the shares subject to the option shall become vested and exercisable as of September 14, 2025, provided the Reporting Person continues to provide Continuous Service (as defined in the Issuer's 2014 Equity Incentive Plan) on each such vesting date. |
| F11 | The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on February 12, 2024. |
| F12 | Twenty-five percent (25%) of the total number of shares subject to the option vested and became exercisable on the first anniversary of February 12, 2024, and 1/48 of the total number of shares subject to the option vest and become exercisable each month thereafter, such that all of the shares subject to the option shall become vested and exercisable as of February 12, 2028, provided the Reporting Person continues to provide Continuous Service (as defined in the Issuer's 2014 Equity Incentive Plan) on each such vesting date. |