As filed with the Securities and Exchange Commission on March 12, 2019
Registration No. 333-230138
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
Post-Effective Amendment No. 1
to
FORM S-8
REGISTRATION STATEMENT
UNDER
THE SECURITIES ACT OF 1933
Adverum Biotechnologies, Inc.
(Exact name of Registrant as specified in its charter)
Delaware | 20-5258327 | |
(State or other jurisdiction of incorporation or organization) |
(I.R.S. Employer Identification Number) |
1035 OBrien Drive
Menlo Park, California 94025
(Address, including zip code, of Registrants principal executive offices)
2014 Equity Incentive Award Plan, as amended and restated
2014 Employee Stock Purchase Plan, as amended and restated
2017 Inducement Plan, as amended and restated
(Full title of the plans)
Jennifer Cheng
Vice President and General Counsel
Adverum Biotechnologies, Inc.
1035 OBrien Drive
Menlo Park, CA 94025
(650) 272-6269
(Name, address, including zip code, and telephone number, including area code, of agent for service)
Copies to:
Jodie Bourdet
Cooley LLP
101 California Street, 5th Floor
San Francisco, CA 94111-5800
(415) 693-2000
Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, a smaller reporting company, or an emerging growth company. See definitions of large accelerated filer, accelerated filer, smaller reporting company and emerging growth company in Rule 12b-2 of the Exchange Act.
Large accelerated filer | ☐ | Accelerated filer | ☒ | |||
Non-accelerated filer | ☐ | Smaller reporting company | ☒ | |||
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 7(a)(2)(B) of the Securities Act. ☒
EXPLANATORY NOTE
This Post-Effective Amendment to Registration Statement on Form S-8 (this Amendment) is being filed solely to amend and restate the signature page of the Registration Statement on Form S-8 filed with the Securities and Exchange Commission on March 7, 2019 (File No. 333-230138) (the Form S-8) due to administrative error. The amended and restated signature page to the Form S-8 immediately follows this explanatory note and immediately precedes the signature page to this Amendment.
SIGNATURES
Pursuant to the requirements of the Securities Act of 1933, as amended, the Registrant certifies that it has reasonable grounds to believe that it meets all of the requirements for filing on Form S-8 and has duly caused this Registration Statement to be signed on its behalf by the undersigned, thereunto duly authorized, in the City of Menlo Park, State of California on March 7, 2019.
Adverum Biotechnologies, Inc. | ||
By: |
/s/ Leone Patterson |
|
Leone Patterson | ||
Chief Executive Officer, Chief Financial Officer and Director |
POWER OF ATTORNEY
KNOW ALL PERSONS BY THESE PRESENTS, that each person whose signature appears below constitutes and appoints Leone Patterson and Jennifer Cheng, or any of them, his or her true and lawful attorney-in-fact and agent, with full power of substitution and resubstitution, for him or her and in his or her name, place and stead, in any and all capacities, to sign any and all amendments (including post-effective amendments) to this Registration Statement on Form S-8, and to file the same, with all exhibits thereto, and other documents in connection therewith, with the Securities and Exchange Commission (the SEC), and generally to do all such things in their names and behalf in their capacities as officers and directors to enable the registrant to comply with the provisions of the Securities Act of 1933, as amended, and all requirements of the SEC, granting unto said attorneys-in-fact and agents, and each of them, full power and authority to do and perform each and every act and thing requisite and necessary to be done in connection therewith, as fully to all intents and purposes as he or she might or could do in person, hereby ratifying and confirming all that said attorneys-in-fact and agents, or any of them, or their or his substitutes or substitute, may lawfully do or cause to be done by virtue hereof.
Pursuant to the requirements of the Securities Act of 1933, as amended, this Registration Statement has been signed by the following persons in the capacities indicated.
Signature |
Title |
Date |
||
/s/ Leone Patterson Leone Patterson |
Chief Executive Officer, Chief Financial Officer
and Director
|
March 7, 2019
|
||
/s/ Paul B. Cleveland Paul B. Cleveland |
Chairman of the Board, Director | March 7, 2019 | ||
/s/ Eric G. Carter, M.D., Ph.D. Eric G. Carter, M.D., Ph.D. |
Director |
March 7, 2019 | ||
/s/ Mitchell H. Finer, Ph.D. Mitchell H. Finer, Ph.D. |
Director | March 7, 2019 | ||
/s/ Patrick Machado Patrick Machado |
Director | March 7, 2019 | ||
/s/ Richard N. Spivey, Pharm.D., Ph.D. Richard N. Spivey, Pharm.D., Ph.D. |
Director | March 7, 2019 | ||
/s/ Thomas Woiwode, Ph.D. Thomas Woiwode, Ph.D. |
Director | March 7, 2019 |
SIGNATURES
Pursuant to the requirements of the Securities Act of 1933, as amended, the Registrant certifies that it has reasonable grounds to believe that it meets all of the requirements for filing on Form S-8 and has duly caused this Amendment to be signed on its behalf by the undersigned, thereunto duly authorized, in the City of Menlo Park, State of California on March 12, 2019.
Adverum Biotechnologies, Inc. | ||
By: |
/s/ Jennifer Cheng, Ph.D., J.D. |
|
Jennifer Cheng, Ph.D., J.D. | ||
Vice President and General Counsel |
Pursuant to the requirements of the Securities Act of 1933, as amended, this Amendment has been signed by the following persons in the capacities indicated.
Signature |
Title |
Date |
||
* Leone Patterson |
Chief Executive Officer, Chief Financial Officer
and Director
|
March 12, 2019
|
||
* Paul B. Cleveland |
Chairman of the Board, Director | March 12, 2019 | ||
* Eric G. Carter, M.D., Ph.D. |
Director |
March 12, 2019 | ||
* Mitchell H. Finer, Ph.D. |
Director | March 12, 2019 | ||
* Patrick Machado |
Director | March 12, 2019 | ||
* Richard N. Spivey, Pharm.D., Ph.D. |
Director | March 12, 2019 | ||
* Thomas Woiwode, Ph.D. |
Director | March 12, 2019 |
* | By: /s/ Jennifer Cheng, Ph.D., J.D. | |
Jennifer Cheng, Ph.D., J.D. | ||
Attorney-in-Fact |