Current Report Filing (8-k)
October 03 2017 - 5:21PM
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
October 3, 2017
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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☐
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Soliciting material pursuant to Rule
14a-12
under the Exchange Act (17 CFR
240.14a-12)
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Pre-commencement
communications pursuant to
Rule 14d-2(b)
under the Exchange Act (17 CFR
240.14d-2(b))
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☐
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Pre-commencement
communications pursuant to
Rule 13e-4(c)
under the Exchange Act (17 CFR
240.13e-4(c))
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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 5.02
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Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.
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On October 3, 2017, Steven D. Schwartz, M.D., a member of the Board of Directors of Adverum Biotechnologies, Inc., resigned as a director
of Adverum, effective immediately. Dr. Schwartz has served as a member of Adverums Board of Directors since September 2010 and is a
co-founder
of Adverum. His resignation is not the result of any
disagreement with Adverum or any matter relating to its operations, practices or policies. Adverum is grateful to Dr. Schwartz for his leadership in the founding and development of the company.
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: October 3, 2017
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By:
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/s/ Leone Patterson
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Leone Patterson, Chief Financial Officer
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