Welcome to our dedicated page for Adverum Biotech SEC filings (Ticker: ADVM), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
The ADVM SEC filings page provides access to the historical regulatory record of Adverum Biotechnologies, Inc., a clinical-stage gene therapy company that focused on ocular diseases such as wet age-related macular degeneration (wet AMD). As a former Nasdaq Capital Market registrant, Adverum filed current reports, financial statements, and transaction documents with the U.S. Securities and Exchange Commission, documenting both its clinical development activities and its corporate evolution, including its acquisition by Eli Lilly and Company.
Among the most informative documents for ADVM are its Form 10-K annual reports and Form 10-Q quarterly reports, which describe the company’s business, risk factors, and progress of its lead gene therapy candidate, ixoberogene soroparvovec (Ixo-vec). Investors and researchers can review these filings to understand how Adverum characterized its intravitreal gene therapy platform, the design of pivotal trials such as the Phase 3 ARTEMIS study in wet AMD, and the regulatory designations obtained for Ixo-vec.
Frequent Form 8-K current reports capture material events. For ADVM, these include the October 24, 2025 8-K describing the Agreement and Plan of Merger with Eli Lilly and Company, and the November 21, 2025 8-K noting completion of target enrollment in the ARTEMIS trial and the termination of a North Carolina lease. Earlier 8-Ks furnish press releases on quarterly financial results and pipeline updates, providing additional context on Adverum’s cash runway, clinical milestones, and strategic reviews.
Users can also examine tender offer and merger-related filings referenced in the 8-Ks, which outline the terms of Lilly’s cash offer plus non-tradable contingent value rights (CVRs) for each ADVM share. These documents explain the milestones tied to potential CVR payments and the conditions required to close the transaction. Together, the ADVM filings form a detailed archive of Adverum Biotechnologies’ regulatory history leading up to and including its acquisition, and AI-powered summaries on this page can help distill key points from lengthy reports such as 10-Ks, 10-Qs, and 8-Ks.
Adverum Biotechnologies (ADVM) reported a Form 4 filing disclosing insider trading activity by Director Reed Vaughn Tuckson on June 17, 2025. The transaction involved the acquisition of derivative securities in the form of stock options.
Key transaction details:
- Acquired 10,450 stock options to purchase common stock
- Exercise price set at $2.32 per share
- Options expire on June 16, 2035
- Vesting occurs on the earlier of June 17, 2026 or the 2026 annual meeting
The stock options include provisions for accelerated vesting upon a change of control, contingent upon the director's continued service with the company. This grant appears to be part of the company's director compensation program.
Form 4 filing reveals that Dawn Svoronos, Director at Adverum Biotechnologies (ADVM), was granted stock options on June 17, 2025. Key details of the transaction:
- Received 10,450 stock options to purchase common stock
- Exercise price set at $2.32 per share
- Options will vest on the earlier of June 17, 2026 or the 2026 annual stockholders meeting
- Options expire on June 16, 2035
- Vesting is subject to continued service and includes accelerated vesting provision upon change of control
This grant appears to be part of the company's director compensation program. The transaction was reported through an attorney-in-fact on June 20, 2025, within the required SEC filing window.
Adverum Biotechnologies (NASDAQ:ADVM) filed a Form 4 disclosing that director Mark L. Lupher, Jr. received an option grant covering 10,450 shares of common stock at an exercise price of $2.32 on June 17 2025.
The option vests on the earlier of June 17 2026 or the 2026 annual shareholder meeting, with accelerated vesting upon a change-of-control and contingent on the director’s continued service. Following the award, Lupher beneficially owns 10,450 derivative securities; no open-market purchases or sales of common shares were reported. The filing represents standard non-cash director compensation and does not signal a change in the company’s financial position or strategy.
The Form 4 filed on 20 Jun 2025 reveals that Adverum Biotechnologies (ADVM) director Soo Hong received a stock-option grant for 10,450 common shares on 17 Jun 2025 at an exercise price of $2.32 per share. The options vest on the earlier of 17 Jun 2026 or the company’s 2026 annual stockholder meeting, with accelerated vesting upon a change-of-control, and they expire on 16 Jun 2035.
After the grant, Hong beneficially owns 10,450 derivative securities; the filing shows no change in non-derivative share ownership, no open-market buying or selling, and no 10b5-1 trading plan. This is a routine equity award that carries no immediate cash impact for Adverum and is typical of standard director compensation programs.
Form 4 filing overview: Adverum Biotechnologies (ADVM) disclosed that non-employee director C. David Nicholson was granted a stock option for 10,450 common shares on 17 Jun 2025 at an exercise price of $2.32 per share. The option vests on the earlier of 17 Jun 2026 or the 2026 annual shareholder meeting, with accelerated vesting upon a change-of-control, conditioned on the director’s continued service.
Key details
- Derivative security: non-qualified stock option (right to buy).
- Expiration: 16 Jun 2035 (10-year term).
- Post-grant holdings: Nicholson now beneficially owns 10,450 options; no change in outright share ownership reported.
- Ownership form: Direct.
The filing records no open-market purchase or sale of common shares—only the incentive grant. Given ADVM’s ~101 million basic shares outstanding (FY24 10-K), the grant represents <0.01 % potential dilution and is therefore immaterial to equity float but signals ongoing board incentive alignment.
Adverum Biotechnologies, Inc. (ADVM) filed a Form 4 disclosing a routine equity grant to director Patrick Machado. On 06/17/2025 Mr. Machado received two non-qualified stock-option awards covering 10,450 and 3,140 shares, respectively, at an exercise price of $2.32 per share. Both options carry a 10-year term (expire 06/16/2035) and vest on the earlier of 06/17/2026 or the company’s 2026 annual meeting, with accelerated vesting upon a change-of-control, contingent on continued board service. Following the grant, the reporting person beneficially owns the same number of derivative securities; no common shares were bought or sold. The filing indicates that Mr. Machado remains a non-employee director and does not alter his ownership form (direct). Because the transaction is an at-the-market option grant aligned with typical director compensation practice and involves no immediate cash outflow or share issuance, the filing is considered administratively important but not financially material for most investors.
Adverum Biotechnologies, Inc. (NASDAQ: ADVM) filed a Form S-8 with the SEC on 20 June 2025 to register 2,100,000 additional shares of common stock for issuance under its 2024 Equity Incentive Award Plan, as amended and restated. Shareholders approved the increase at the 17 June 2025 annual meeting, after the Board’s authorization on 16 April 2025.
The company is classified as a non-accelerated filer and smaller reporting company. Other than the expanded share reserve, the filing contains no new financial data. Standard exhibits include the legal opinion (Exhibit 5.1), auditor consent (Exhibit 23.1) and the revised plan document (Exhibit 99.1). The registration relies on General Instruction E, incorporating by reference prior reports—Form 10-K (FY 2024), Form 10-Q (Q1 2025) and several Form 8-Ks.
While routine, the filing increases the potential share count available for employee and director equity awards, which could introduce modest dilution when the options or RSUs are exercised or vest.