UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM8-K
CURRENT REPORT
Pursuant to Section 13 or 15(d)
of the Securities Exchange Act of 1934
July 31, 2019
Date of Report (Date of earliest event reported)
Adverum Biotechnologies, Inc.
(Exact name of registrant as specified in its charter)
Delaware | 001-36579 | 20-5258327 | ||
(State or other jurisdiction of incorporation) | (Commission File Number) | (I.R.S. Employer Identification No.) |
1035 O’Brien Drive
Menlo Park, CA 94025
(Address of principal executive offices, including zip code)
(650) 272-6269
(Registrant’s telephone number, including area code)
Check the appropriate box below if the Form8-K filing is intended to simultaneously satisfy the filing obligations 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 Rule14a-12 under the Exchange Act (17 CFR240.14a-12) |
☐ | Pre-commencement communications pursuant toRule 14d-2(b) under the Exchange Act (17 CFR240.14d-2(b)) |
☐ | Pre-commencement communications pursuant toRule 13e-4(c) under the Exchange Act (17 CFR240.13e-4(c)) |
Securities registered pursuant to Section 12(b) of the Act:
Title of each class | Trading Symbol(s) | Name of each exchange on which registered | ||
Common Stock | ADVM | Nasdaq Global Market |
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 Rule12b-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. |
Adverum Biotechnologies, Inc. held its 2019 Annual Meeting of Stockholders on July 31, 2019. The following is a brief description of each matter voted upon at the Annual Meeting, as well as the final tally of the number of votes cast for, withheld or against each matter, and the number of abstentions and brokernon-votes with respect to each matter.
Proposal No. 1. Election of Directors.
Adverum’s stockholders elected the Class II director nominees below to Adverum’s Board of Directors, each to hold office until the 2022 Annual Meeting of Stockholders and his or her successor is elected and has qualified, or until his or her earlier death, resignation or removal.
Votes For | Votes Withheld | |||||||
Patrick Machado | 39,199,804 | 6,116,441 | ||||||
Leone Patterson | 45,200,381 | 115,864 | ||||||
James Scopa | 45,226,178 | 90,067 |
There were 10,033,033 brokernon-votes for this proposal.
Proposal No. 2. Ratification of Selection of Independent Registered Public Accounting Firm.
Adverum’s stockholders ratified the selection of Ernst & Young LLP as the independent registered public accounting firm of Adverum for its fiscal year ending December 31, 2019.
Votes For | Votes Against | Abstentions | Broker Non- Votes | |||
55,274,966 | 37,740 | 36,572 | — |
SIGNATURES
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.
Adverum Biotechnologies, Inc. | ||||||
Date: July 31, 2019 | By: | /s/ Leone Patterson | ||||
Leone Patterson, Chief Executive Officer |