Statement of Ownership (sc 13g)
December 06 2017 - 5:06PM
Edgar (US Regulatory)
|
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)
|
|
|
|
December
5, 2017
|
|
(Date of event which requires filing of this statement)
|
|
|
|
|
|
Check the appropriate box to designate the rule pursuant to which this Schedule 13G is filed:
|
|
|
|
¨
|
Rule 13d-1(b)
|
|
x
|
Rule 13d-1(c)
|
|
¨
|
Rule 13d-1(d)
|
|
|
|
(Page 1 of 8 Pages)
|
______________________________
*The remainder of this cover page shall
be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any
subsequent amendment containing information which would alter the disclosures provided in a prior cover page.
The information required in the remainder
of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of
1934 ("
Act
") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other
provisions of the Act (however, see the Notes).
|
CUSIP No.
00773U108
|
13G
|
Page
2
of 8 Pages
|
|
1
|
NAMES OF REPORTING PERSONS
Highbridge Capital Management, LLC
|
|
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a)
¨
(b)
¨
|
|
3
|
SEC USE ONLY
|
|
4
|
CITIZENSHIP OR PLACE OF ORGANIZATION
State of Delaware
|
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH
|
5
|
SOLE VOTING POWER
0
|
|
6
|
SHARED VOTING POWER
2,500,000 shares of Common Stock (including 200,000
shares of Common Stock issuable upon exercise of call options)
|
|
7
|
SOLE DISPOSITIVE POWER
0
|
|
8
|
SHARED DISPOSITIVE POWER
2,500,000 shares of Common Stock (including 200,000
shares of Common Stock issuable upon exercise of call options)
|
|
9
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
2,500,000 shares of Common Stock (including 200,000
shares of Common Stock issuable upon exercise of call options)
|
|
10
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
|
¨
|
|
11
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
5.55%
|
|
12
|
TYPE OF REPORTING PERSON
IA, OO
|
|
|
|
|
|
|
|
CUSIP No.
00773U108
|
13G
|
Page
3
of 8 Pages
|
|
1
|
NAMES OF REPORTING PERSONS
1992 MSF International Ltd.
|
|
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a)
¨
(b)
¨
|
|
3
|
SEC USE ONLY
|
|
4
|
CITIZENSHIP OR PLACE OF ORGANIZATION
Cayman Islands, British West Indies
|
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH
|
5
|
SOLE VOTING POWER
0
|
|
6
|
SHARED VOTING POWER
2,500,000 shares of Common Stock (including 200,000
shares of Common Stock issuable upon exercise of call options)
|
|
7
|
SOLE DISPOSITIVE POWER
0
|
|
8
|
SHARED DISPOSITIVE POWER
2,500,000 shares of Common Stock (including 200,000
shares of Common Stock issuable upon exercise of call options)
|
|
9
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
2,500,000 shares of Common Stock (including 200,000
shares of Common Stock issuable upon exercise of call options)
|
|
10
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
|
¨
|
|
11
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
5.55%
|
|
12
|
TYPE OF REPORTING PERSON
OO
|
|
|
|
|
|
|
|
CUSIP No.
00773U108
|
13G
|
Page
4
of 8 Pages
|
|
Item 1(a).
|
NAME OF ISSUER:
|
|
|
|
|
|
The name of the issuer is Adverum Biotechnologies, Inc. (the "
Company
").
|
Item 1
(b).
|
ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES:
|
|
|
|
|
|
The Company's principal executive offices are located at 1035 O’Brien Drive, Menlo Park, CA 94025.
|
|
Item 2(a).
|
NAME OF PERSON FILING:
|
Item 2
(b).
|
ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE, RESIDENCE:
|
|
|
This statement is filed by:
|
|
|
|
|
|
(i)
|
Highbridge Capital Management, LLC
40 West 57th Street, 32nd Floor
New York, New York 10019
Citizenship: State of Delaware
|
|
|
|
|
|
(ii)
|
1992 MSF International Ltd.
c/o Highbridge Capital Management, LLC
40 West 57th Street, 32nd Floor
New York, New York 10019
Citizenship: Cayman Islands
|
|
|
|
|
|
The foregoing persons are hereinafter sometimes collectively referred to as the "
Reporting Persons
."
|
Item 2
(d).
|
TITLE OF CLASS OF SECURITIES:
|
|
|
|
|
|
Common Stock, par value $0.0001 per share (the "
Common Stock
").
|
Item 2
(e).
|
CUSIP NUMBER:
|
|
|
|
|
|
00773U108
|
|
Item 3.
|
IF THIS STATEMENT IS FILED PURSUANT TO RULES 13d-1(b) OR 13d-2(b) OR (c), CHECK WHETHER THE PERSON FILING IS A:
|
|
|
(a)
|
¨
|
Broker or dealer registered under Section 15 of the Act,
|
|
|
(b)
|
¨
|
Bank as defined in Section 3(a)(6) of the Act,
|
|
|
(c)
|
¨
|
Insurance Company as defined in Section 3(a)(19) of the Act,
|
|
|
(d)
|
¨
|
Investment Company registered under Section 8 of the Investment Company Act of 1940,
|
|
CUSIP No.
00773U108
|
13G
|
Page
5
of 8 Pages
|
|
|
(e)
|
¨
|
An investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E);
|
|
|
(f)
|
¨
|
Employee Benefit Plan or Endowment Fund in accordance with Rule 13d-1(b)(1)(ii)(F),
|
|
|
(g)
|
¨
|
Parent Holding Company or control person in accordance with Rule 13d-1(b)(1)(ii)(G),
|
|
|
(h)
|
¨
|
Savings Association as defined in Section 3(b) of the Federal Deposit Insurance Act,
|
|
|
(i)
|
¨
|
A church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act;
|
|
|
(j)
|
¨
|
A non-U.S. institution in accordance with Rule 13d-1(b)(1)(ii)(J);
|
|
|
(k)
|
¨
|
Group, in accordance with Rule 13d-1(b)(1)(ii)(K).
|
|
|
If filing as a non-U.S. institution in accordance with Rule 13d-1(b)(1)(ii)(J),
please
specify the type of institution:_______________________________________
|
|
|
(a) Amount
beneficially owned:
As of the date hereof, (i) 1992 MSF International
Ltd. may be deemed to beneficially own 2,500,000 shares of Common Stock (including 200,000 shares of Common Stock issuable upon
exercise of call options) and (ii) Highbridge Capital Management, LLC, as the trading manager of 1992 MSF International Ltd., may
be deemed to be the beneficial owner of the 2,500,000 shares of Common Stock (including 200,000 shares of Common Stock issuable
upon exercise of call options) held by 1992 MSF International Ltd.
(b) Percent
of class:
The percentages used herein and in the rest
of this Schedule 13G are calculated based upon 45,041,468 shares of Common Stock outstanding, as reported in the Company's Quarterly
Report on Form 10-Q for the quarterly period ended September 30, 2017 filed with the Securities and Exchange Commission on November
8, 2017. Therefore, as of the date hereof, (i) 1992 MSF International Ltd. may be deemed to beneficially own approximately 5.55%
of the outstanding shares of Common Stock and (ii) Highbridge Capital Management, LLC may be deemed to beneficially own approximately
5.55% of the outstanding shares of Common Stock.
The foregoing should not be construed in and of itself as an admission
by any Reporting Person as to beneficial ownership of the shares of Common Stock held by 1992 MSF International Ltd.
|
|
CUSIP No.
00773U108
|
13G
|
Page
6
of 8 Pages
|
|
|
(c) Number of
shares as to which such person has:
(i)
Sole power to vote or to direct the vote
0
(ii) Shared
power to vote or to direct the vote
See Item 4(a)
(iii) Sole
power to dispose or to direct the disposition of
0
(iv) Shared
power to dispose or to direct
the disposition of
See Item 4(a)
|
|
Item 5.
|
OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS.
|
|
|
|
|
|
Not applicable.
|
|
Item 6.
|
OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON.
|
|
|
|
|
|
Not applicable.
|
|
Item 7.
|
IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY.
|
|
|
|
|
|
Not applicable.
|
|
Item 8.
|
IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP.
|
|
|
|
|
|
Not applicable.
|
|
Item 9.
|
NOTICE OF DISSOLUTION OF GROUP.
|
|
|
|
|
|
Not applicable.
|
|
|
Each Reporting Person hereby makes the following certification:
|
|
|
|
|
|
By signing below the Reporting Person certifies that, to the best of its knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect.
|
|
CUSIP No.
00773U108
|
13G
|
Page
7
of 8 Pages
|
SIGNATURES
After reasonable
inquiry and to the best of our knowledge and belief, the undersigned certifies that the information set forth in this statement
is true, complete and correct.
DATED: December 6, 2017
|
HIGHBRIDGE CAPITAL MANAGEMENT, LLC
|
|
|
|
|
|
|
|
|
By:
|
/s/ John Oliva
|
|
|
Name: John Oliva
|
|
|
Title: Managing Director
|
|
|
|
|
|
|
|
|
|
1992 MSF INTERNATIONAL LTD.
By: Highbridge Capital Management, LLC
its Trading Manager
|
|
|
|
|
|
|
|
|
By:
|
/s/ John Oliva
|
|
|
Name: John Oliva
|
|
|
Title: Managing Director
|
|
|
|
|
|
|
CUSIP No.
00773U108
|
13G
|
Page
8
of 8 Pages
|
EXHIBIT 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 agreements. The
undersigned acknowledge that each shall be responsible for the timely filing of such amendments, and for the completeness and accuracy
of the information concerning him or it contained herein and therein, but shall not be responsible for the completeness and accuracy
of the information concerning the others, except to the extent that he or it knows or has reason to believe that such information
is inaccurate.
DATED: December 6, 2017
|
HIGHBRIDGE CAPITAL MANAGEMENT, LLC
|
|
|
|
|
|
|
|
|
By:
|
/s/ John Oliva
|
|
|
Name: John Oliva
|
|
|
Title: Managing Director
|
|
|
|
|
|
|
|
|
|
1992 MSF INTERNATIONAL LTD.
By: Highbridge Capital Management, LLC
its Trading Manager
|
|
|
|
|
|
|
|
|
By:
|
/s/ John Oliva
|
|
|
Name: John Oliva
|
|
|
Title: Managing Director
|
|
|
|
|
|
Adverum Biotechnologies (NASDAQ:ADVM)
Historical Stock Chart
From Mar 2024 to Apr 2024
Adverum Biotechnologies (NASDAQ:ADVM)
Historical Stock Chart
From Apr 2023 to Apr 2024
