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
Date of Report (Date of Earliest Event Reported): January 31, 2017
ADVERUM BIOTECHNOLOGIES, INC.
(Exact Name of Registrant as Specified in its Charter)
| | | | |
| Delaware | | 001-36579 | | 20-5258327 |
| (State or Other Jurisdiction | | (Commission File No.) | | (I.R.S. Employer |
| of Incorporation) | | | | Identification No.) |
1035 O’Brien Drive
Menlo Park, CA 94025
(Address of principal executive offices, including Zip Code)
Registrant’s 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 14a–12 under the Exchange Act (17 CFR 240.14a–12) |
| ❑ | Pre-commencement communication pursuant to Rule 14d–2(b) under the Exchange Act (17 CFR 240.14d–2(b)) |
| ❑ | Pre-commencement communications pursuant to Rule 13e–4(c) under the Exchange Act (17 CFR 240.13e–4(c)) |
| Item 5.02 | Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers. |
On January 31, 2017, Mark Blumenkranz, M.D., a member of the board of directors (the “Board”) of Adverum Biotechnologies, Inc. (the “Company”), resigned as a director of the Company and as a member of the audit, compensation and nominating and corporate governance committees of the Board, effective as of February 1, 2017. Dr. Blumenkranz has served the Company since its founding. Dr. Blumenkranz intends to devote time to his other professional commitments. The Company is grateful to Dr. Blumenkranz for his leadership in the founding and development of the Company.
A copy of Dr. Blumenkranz’s resignation letter is attached as Exhibit 99.1 to this Form 8-K.
SIGNATURE
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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| Date: February 3, 2017 | | | | ADVERUM BIOTECHNOLOGIES, INC. |
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| | | | By: | | /s/ Leone Patterson |
| | | | | | Leone Patterson, Chief Financial Officer |
