SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
PURSUANT TO SECTION 13 OR 15(d)
OF THE SECURITIES EXCHANGE ACT OF 1934
Date of Report (Date of Earliest Event Reported): May 31, 2018
ADVERUM BIOTECHNOLOGIES, INC.
(Exact Name of Registrant as Specified in its Charter)
(State or Other Jurisdiction
1035 OBrien Drive
Menlo Park, CA 94025
(Address of principal executive offices, including Zip Code)
Registrants telephone number, including area code: (650) 272-6269
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
|☐||Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)|
|☐||Soliciting material pursuant to Rule 14a12 under the Exchange Act (17 CFR 240.14a12)|
|☐||Pre-commencement communication pursuant to Rule 14d2(b) under the Exchange Act (17 CFR 240.14d2(b))|
|☐||Pre-commencement communications pursuant to Rule 13e4(c) under the Exchange Act (17 CFR 240.13e4(c))|
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 5.07||Submission of Matters to a Vote of Security Holders.|
On May 31, 2018, Adverum Biotechnologies, Inc. (Adverum) held its 2018 Annual Meeting of Stockholders (the 2018 Annual Meeting) at the offices of Cooley LLP, 3175 Hanover Street, Palo Alto, California. Stockholders who owned Adverums common stock at the close of business on April 10, 2018, the record date for the 2018 Annual Meeting, were entitled to vote at the 2018 Annual Meeting. As of the record date, 62,233,215 shares of Adverums common stock were outstanding and entitled to vote at the 2018 Annual Meeting. At the 2018 Annual Meeting, 52,481,483 shares of Adverums common stock were voted in person or by proxy for the two proposals set forth below, each of which is described in Adverums Proxy Statement on Schedule 14A filed with the U.S. Securities and Exchange Commission on April 20, 2018.
Proposal No. 1. Election of Directors.
Adverums stockholders elected the Class I director nominees below to Adverums Board of Directors, each to hold office until the 2021 Annual Meeting of Stockholders and his successor is elected and has qualified, or until his earlier death, resignation or removal.
Paul B. Cleveland
Eric G. Carter, M.D., Ph.D.
Thomas Woiwode, Ph.D.
Proposal No. 2. Ratification of Selection of Independent Registered Public Accounting Firm.
Adverums stockholders ratified the selection of Ernst & Young LLP as the independent registered public accounting firm of Adverum for its fiscal year ending December 31, 2018.
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.
|Date: June 1, 2018||ADVERUM BIOTECHNOLOGIES, INC.|
|Leone Patterson, Senior Vice President and Chief Financial Officer and Interim President and Chief Executive Officer|