ADVERUM BIOTECHNOLOGIES INC

CUSIP: 00773U108 Class: Common Stock

Caption Management, LLC's Holding History (CIK: 0001706766)

Note: Option positions (PUT/CALL) are excluded.

Q4 2020
Shares 11,265 Value ($000) $123 Avg Close — Range —
Q1 2020
Shares 18,000 Value ($000) $176 Avg Close — Range —
Q4 2019
Shares 76,400 Value ($000) $880 Avg Close — Range —
Q3 2019
Shares 124,800 Value ($000) $681 Avg Close — Range —