Current Report Filing (8-k)
September 12 2019 - 6:06AM
Edgar (US Regulatory)
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 11, 2019
Date of Report (Date of earliest event reported)
Adverum
Biotechnologies, Inc.
(Exact name of registrant as specified in its charter)
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Delaware
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001-36579
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20-5258327
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(State or other jurisdiction
of incorporation)
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(Commission
File Number)
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(I.R.S. Employer
Identification No.)
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1035 OBrien Drive
Menlo Park, CA 94025
(Address of principal executive offices, including zip code)
(650) 272-6269
(Registrants telephone number, including area code)
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligations of
the registrant under any of the following provisions:
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Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
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Soliciting material pursuant to Rule 14a12 under the Exchange Act (17 CFR 240.14a12)
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Pre-commencement communication pursuant to Rule 14d2(b) under the
Exchange Act (17 CFR 240.14d2(b))
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Pre-commencement communications pursuant to Rule 13e4(c) under
the Exchange Act (17 CFR 240.13e4(c))
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Securities registered pursuant to Section 12(b) of the Act:
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Title of each class
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Trading
Symbol(s)
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Name of each exchange
on which registered
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Common Stock
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ADVM
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Nasdaq Global Market
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Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of
1933 (§ 230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§ 240.12b-2 of this chapter).
Emerging
growth company ☒
If an emerging growth company, indicate by check mark if the registrant has elected not to use the
extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☒
Item 7.01
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Regulation FD Disclosure.
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On September 11, 2019, Adverum Biotechnologies, Inc. issued a press release presenting 24-week primary and
secondary outcomes from the first cohort of patients in its OPTIC trial. A copy of the press release is attached as Exhibit 99.1 to this current report on Form 8-K and is incorporated herein by reference.
The information in this Item 7.01 of this current report on Form 8-K and Exhibit 99.1 attached hereto shall not
be deemed filed for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the Exchange Act) nor otherwise subject to the liabilities of that section, nor shall it be deemed incorporated by
reference in any filing under the Securities Act of 1933, as amended, or the Exchange Act, regardless of any general incorporation language in such filing.
Item 9.01.
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Financial Statements and Exhibits.
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SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by
the undersigned hereunto duly authorized.
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Adverum Biotechnologies, Inc.
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Date: September 11, 2019
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By:
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/s/ Leone Patterson
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Leone Patterson, Chief Executive Officer
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