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Documents Incorporated by Reference in ‘DEFC14A’ Filing 1140361-21-12843 · Filed re: Wednesday, 7/31/19
31
JUL


        

11  Filings
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  As Of               Filer                 Filing¹   For·On·As Docs:Size             Issuer                      Filing Agent      
Currently in descending order - Sort in ascending orderSort in ascending orderSort in ascending orderSort in descending orderSort in ascending orderSort in ascending order


        
10/25/19  Finer Mitchell H.                 4/A        Other²      1:5K   Adverum Biotechnologies, Inc.     DONNELLEY FIN… File16/FA 
  8/2/19  Machado Patrick                   4          Director²   1:5K   Adverum Biotechnologies, Inc.     DONNELLEY FIN… File16/FA 
  8/2/19  Spivey Richard N.                 4          Director²   1:5K   Adverum Biotechnologies, Inc.     DONNELLEY FIN… File16/FA 
  8/2/19  Carter Eric G                     4          Director²   1:5K   Adverum Biotechnologies, Inc.     DONNELLEY FIN… File16/FA 
  8/2/19  Woiwode Thomas                    4          Director²   1:5K   Adverum Biotechnologies, Inc.     DONNELLEY FIN… File16/FA 
  8/2/19  Finer Mitchell H.                 4          Director²   1:5K   Adverum Biotechnologies, Inc.     DONNELLEY FIN… File16/FA 
  8/2/19  Scopa James Paul                  4          Director²   1:5K   Adverum Biotechnologies, Inc.     DONNELLEY FIN… File16/FA 
  8/2/19  Lupher, Jr. Mark L.               4          Director²   1:5K   Adverum Biotechnologies, Inc.     DONNELLEY FIN… File16/FA 
  8/2/19  Hemrajani Rekha                   4          Director²   1:5K   Adverum Biotechnologies, Inc.     DONNELLEY FIN… File16/FA 
 7/31/19  Adverum Biotechnologies, Inc.     8-K:5       7/31/19    1:22K                                    Donnelley … Solutions/FA 
 6/17/19  Adverum Biotechnologies, Inc.     DEF 14A     7/31/19    1:934K                                   Donnelley … Solutions/FA 
____________
 ¹  Filing/Form Types: 
Type emoji
/A
  4    Statement of Changes in Beneficial Ownership of Securities by an Insider — Form 4 { The Filer is an Insider² of the Issuer }.
  8-K    Current Report — Form 8-K { Item 1: Business & Operations;  2: Financial Info;  3: Securities & Trading;  4: Accountants & Accounting;  5: Governance & Management;  6: Asset-Backed Securities;  7: Disclosures;  8: Events;  9: Financials }.
  DEF 14A    Definitive Proxy Statement — Schedule 14A.
  /A  Amendment to, or Amended version of, a previous Filing of this Type.
 ²  Insider:  The Filer is a Director, Officer, 10% Owner and/or Other “insider” of the Issuer.

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