Adverum Biotechnologies, Inc. 

CA

  SEC # 1501756

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780  SEC Filings   from  11/26/13  to  4/1/24  (3 Weeks Ago)

List All Filings	or	Filer / Offerer   Owner / Insider   Issuer / Subject Company   Filing Agent
Most-Recent Filing:		‘EFFECT’ — SEC Notice of Effectiveness — Filed as:  Filer / Offerer
New-Filing E-Mail:			Send me notifications of all Filings involving  Adverum Biotechnologies, Inc.

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Forms , Documents & Exhibits  in  304 Filings  Filed as:  Filer / Offerer  or  Owner / Insider

        

Latest Filing			Type		Category	Description		Documents
4/1/24			EFFECT		SEC:		SEC Notices of Effectiveness	6
3/21/24			S-3		Registration:		Registration Statements – Securities for Transactions — Form S-3	5
3/20/24			424B3		Registration:		Prospectus – New Facts or Events	1
3/20/24			8-K		Update:		Current Reports — Form 8-K — Press Releases & Conference Calls  — Financial Reports	145
					8-K Items:
2/5/24			Business & Operations:			•	Entry into a Material Definitive Agreement — Item 1.01 — ↓‘EX-10’	14
4/21/17	OLD		"			•	Termination of a Material Definitive Agreement — Item 1.02  OLD  — ↓‘EX-10’	2
5/12/16	OLD		Financial Info:			•	Completion of Acquisition or Disposition of Assets — Item 2.01  OLD  — ↓‘EX-2’	1
3/18/24			"			•	Results of Operations and Financial Condition — Item 2.02 — Financial Reports	32
4/23/21	OLD		"			•	Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant — Item 2.03  OLD  — ↓‘EX-10’	3
7/6/22	OLD		"			•	Cost Associated with Exit or Disposal Activities — Item 2.05  OLD  — ↓‘EX-2’	2
12/8/23			Securities & Trading:			•	Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing — Item 3.01	6
2/5/24			"			•	Unregistered Sales of Equity Securities — Item 3.02 — ↓‘EX-1’	4
3/20/24			"			•	Material Modifications to Rights of Security Holders — Item 3.03 — ↓‘EX-4’	2
3/22/18	OLD		Accountants & Accounting:			•	Changes in Registrant’s Certifying Accountant — Item 4.01  OLD  — ↓‘EX-16’	2
12/4/23			Governance & Management:			•	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers — Item 5.02 — List of Directors & Officers	57
3/20/24			"			•	Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year — Item 5.03 — ↓‘EX-3’	5
12/13/19	OLD		"			•	Amendments to the Registrant’s Code of Ethics, or Waiver of a Provision of the Code of Ethics — Item 5.05  OLD	1
6/9/23			"			•	Submission of Matters to a Vote of Security Holders — Item 5.07	9
3/1/19	OLD		"			•	Shareholder Nominations Pursuant to Exchange Act Rule 14a-11 — Item 5.08  OLD	1
2/8/24			Disclosures:			•	Regulation FD Disclosure — Item 7.01 — ↓‘EX-99’	15
2/8/24			Events:			•	Other Events — Item 8.01	29
3/20/24			Financials:			•	Financial Statements and Exhibits — Item 9.01 — Financial Reports	73
3/18/24			CORRESP		Comment:		Comment-Response and Other Letters to the SEC  [ a.k.a. COVER ] — All Correspondence with the SEC	10
3/18/24			S-8		Registration:		Registration Statements – Securities for Certain Employee Benefit Plans — Form S-8	15
3/18/24			10-K		Update:		Annual Reports — Form 10-K — Financial Reports	11
2/21/24			D		Registration:		Notices of Exempt Offerings of Securities — Form D	4
11/9/23			10-Q		Update:		Quarterly Reports — Form 10-Q — Financial Reports	30
5/11/23			424B5		Registration:		Prospectuses – Primary Offerings and Shelf Securities – New Facts or Events	9
4/25/23	OLD		ARS		Update:		Annual Report to Security Holders  OLD	1
4/25/23	OLD		DEFA14A		Proxy:		Definitive Additional Proxy Soliciting Materials — Schedule 14A  OLD	29
4/25/23	OLD		DEF 14A		Proxy:		Definitive Proxy Statements — Schedule 14A  OLD	7
4/14/23	OLD		PRE 14A		Proxy:		Preliminary Proxy Statement — Schedule 14A  OLD	1
4/15/21	OLD		DEFC14A		Proxy:		Definitive Proxy Statement – Contested Solicitation — Schedule 14A  OLD	1
4/7/21	OLD		PRER14A		Proxy:		Preliminary Revised Proxy Soliciting Material — Schedule 14A  OLD	1
4/5/21	OLD		PREC14A		Proxy:		Preliminary Proxy Statement – Contested Solicitation — Schedule 14A  OLD	1
6/24/20	OLD		CT ORDER		SEC:		SEC Confidential Treatment Orders  OLD	7
8/8/19	OLD		S-3ASR		Registration:		Automatic Shelf Registration Statement by a Well-Known Issuer — Form S-3  OLD	1
3/12/19	OLD		S-8 POS		Registration:		Post-Effective Amendment of a Form S-8 Registration  OLD	1
4/7/16	OLD		DEFM14A		Proxy:		Definitive Proxy Statement – Merger or Acquisition — Schedule 14A  OLD	1
3/18/16	OLD		PREM14A		Proxy:		Preliminary Proxy Statement – Merger or Acquisition — Schedule 14A  OLD	1
1/8/15	OLD		424B4		Registration:		Prospectuses – Info Previously Omitted & New Facts or Events  OLD	2
1/7/15	OLD		S-1MEF		Registration:		Registration Statements to Add Securities to Prior Form S-1 Registrations  OLD	2
1/5/15	OLD		S-1		Registration:		Registration Statements (General Form) — Form S-1  OLD  — Financial Reports	9
7/31/14	OLD		CERTNAS		Trading:		Certification by the Nasdaq Stock Market Approving a Listing — Form CERT  OLD	1
7/28/14	OLD		8-A12B		Registration:		Registration Statement for a Class of Securities — Form 8-A  OLD	1
6/24/14	OLD		DRS		Registration:		Draft Registration Statements by Emerging Growth Companies and Foreign Issuers — Form DRS  OLD	2
					General Exhibits:
3/21/24			EX-23		Consents of Experts and Counsel			44
3/21/24			EX-FILING FEES		Filing Fees			7
3/21/24			EX-4		Instruments, Including Indentures, Defining the Rights of Security Holders			25
3/21/24			EX-5		Opinions of Counsel re: Legality			29
3/20/24			EX-3		Articles of Incorporation/Organization and Bylaws			15
3/18/24			EX-97		Clawback Policy re: Recovery of Erroneously Awarded Compensation			1
3/18/24			EX-21		Subsidiaries Lists			9
2/5/24			EX-10		Material Contracts			157
5/11/23			EX-1		Underwriting Agreements  (and mislabeled “1st Exhibits”)			8
4/7/16	OLD		EX-2		Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and Successions  OLD			4
					Additional Exhibits:
3/18/24			EX-99		Miscellaneous Exhibits, such as Press Releases — Press Releases & Conference Calls			76
					Financials:
3/20/24			XML  &  R#		IDEA Financial Reports Info — Financial Reports			2,048
3/20/24			EXCEL		IDEA Workbooks of Financial Reports Info — Workbooks of Financial Reports			102
3/20/24			EX-101.*		XBRL Data  (XBRL Files)			406
3/20/24			JSON		XBRL Instances as JavaScript Object Notation Data  (JSON Files)			73
3/20/24			ZIP		XBRL Zipped Folders   (Folders of XBRL Files)			97
3/18/24			EX-31		Certifications — §302 – SOA’02			80
3/18/24			EX-32		Certifications — §906 – SOA’02			59
8/8/18	OLD		EX-12		Statements re: Computations of Ratios  OLD			4
3/22/18	OLD		EX-16		Letters re: Changes in Accountants  OLD			2
					Graphics:
3/21/24			GRAPHIC		Photos, Images and Graphs			896

Forms , Documents & Exhibits  in  478 Filings  Filed re:  Issuer / Subject Company

        

List all Money Managers that own this Security Issuer:  CUSIP 00773U

        

Latest Filing			Type		Category	Description		Documents
3/12/24			4		Ownership:		Statements of Changes in Beneficial Ownership of Securities by Insiders — Form 4	304
2/22/24			SC 13G		Ownership:		Statements of Acquisitions of Beneficial Ownership by “Passive” Investors — Schedule 13G	79
11/6/23			3		Ownership:		Initial Statements of Beneficial Ownership of Securities by Insiders — Form 3	56
12/30/22	OLD		SC 13D		Ownership:		Statements of Acquisitions of Beneficial Ownership by “Active” Investors — Schedule 13D  OLD	9
5/12/21	OLD		DFAN14A		Proxy:		Definitive Additional Non-Management Proxy Soliciting Materials — Schedule 14A  OLD	26
4/15/21	OLD		DEFC14A		Proxy:		Definitive Proxy Statements – Contested Solicitations — Schedule 14A  OLD	2
4/13/21	OLD		PRRN14A		Proxy:		Preliminary Revised Non-Management Proxy Soliciting Material – Contested Solicitation or Other Situation — Schedule 14A  OLD	1
4/13/21	OLD		CORRESP		Comment:		Comment-Response or Other Letter to the SEC  [ a.k.a. COVER ]  OLD  — All Correspondence with the SEC	1
4/7/21	OLD		PREC14A		Proxy:		Preliminary Proxy Statements – Contested Solicitations — Schedule 14A  OLD	2
					Letters:
3/11/24			LETTER		Comment and Other Letters from the SEC  [ a.k.a. UPLOAD ] — All Correspondence with the SEC			8
3/11/24			TEXT-EXTRACT		Comment and Other Letters from the SEC – PDFs’ Text  [ a.k.a. LETTER ]			6
					General Exhibits:
2/14/24			EX-24		Powers of Attorney			67
2/12/21	OLD		EX-1		Underwriting Agreements  (and mislabeled “1st Exhibits”)  OLD			3
					Additional Exhibits:
2/15/24			EX-99		Miscellaneous Exhibits, such as Press Releases			21
					Graphics:
5/11/21	OLD		GRAPHIC		Photos, Images and Graphs  OLD			29

        

Filings History

Year		# of Filings
2024		36
2023		58
2022		67
2021		110
2020		80
2019		57
2018		44
2017		68
2016		80
2015		107
2014		72
2013		1