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Filing Details

Accession Number:: 0001209191-14-024062
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2014-04-01 14:06:28
Reporting Period:: 2014-04-01

Filing Date:: 2014-04-01
Accepted Time:: 2014-04-01 14:06:28
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1273636	Applied Genetic Technologies Corp	AGTC	Biological Products, (No Disgnostic Substances) (2836)	593553710

Insiders

Cik	Name	Reported Address	Director	Officer	Large Shareholder	Other
1123907	Interwest Partners Viii Lp	C/O Interwest Partners 2710 Sand Hill Road, Suite 200 Menlo Park CA 94025	No	No	Yes	No
1132601	P L Viii Investors Interwest	C/O Interwest Partners 2710 Sand Hill Road, Suite 200 Menlo Park CA 94025	No	No	Yes	No
1132649	Interwest Investors Q Viii Lp	C/O Interwest Partners 2710 Sand Hill Road, Suite 200 Menlo Park CA 94025	No	No	Yes	No
1198704	B Harvey Cash	C/O Interwest Partners 2710 Sand Hill Road, Suite 200 Menlo Park CA 94025	No	No	Yes	No
1207831	T Philip Gianos	C/O Interwest Partners 2710 Sand Hill Road, Suite 200 Menlo Park CA 94025	No	No	Yes	No
1293171	H Gilbert Kliman	C/O Interwest Partners 2710 Sand Hill Road, Suite 200 Menlo Park CA 94025	No	No	Yes	No
1293923	Stephen W Holmes	C/O Interwest Partners 2710 Sand Hill Road, Suite 200 Menlo Park CA 94025	No	No	Yes	No
1293949	Interwest Management Partners Viii, Llc	C/O Interwest Partners 2710 Sand Hill Road, Suite 200 Menlo Park CA 94025	No	No	Yes	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Acquisiton	2014-04-01	1,376,480	$0.00	1,376,480	No	4	C	Indirect	See Footnote
Common Stock	Acquisiton	2014-04-01	75,376	$12.00	1,452,216	No	4	P	Indirect	See Footnote

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	C	Indirect	See Footnote
No	4	P	Indirect	See Footnote

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Series A-1 Convertible Preferred Stock	Disposition	2014-04-01	11,479,011	$0.00	690,699	$0.00
Common Stock	Series B-1 Convertible Preferred Stock	Disposition	2014-04-01	6,409,436	$0.00	183,126	$0.00
Common Stock	Series B-2 Convertible Preferred Stock	Disposition	2014-04-01	11,893,926	$0.00	339,825	$0.00
Common Stock	Series B-3 Convertible Preferred Stock	Disposition	2014-04-01	5,699,111	$0.00	162,830	$0.00
Series B-1 Convertible Preferred Stock	Series B-1 Warrant	Disposition	2014-04-01	416,361	$0.00	416,361	$0.13
Common Stock	Common Stock Warrant	Acquisiton	2014-04-01	11,895	$0.00	11,895	$4.54

Remaning Holdings	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
0		No	4	C	Indirect
0		No	4	C	Indirect
0		No	4	C	Indirect
0		No	4	C	Indirect
0	2017-05-02	No	4	C	Indirect
11,895	2017-05-02	No	4	C	Indirect

Footnotes

Each share of convertible preferred stock converted automatically into common stock upon the closing of the Issuer's initial public offering, and had no expiration date.
These securities are held as follows: 1,327,893 by InterWest Partners VIII, LP ("IW8"), 10,597 by InterWest Investors VIII, LP ("II8") and 37,990 by InterWest Investors Q VIII, LP ("IIQ8") (collectively, the "InterWest Funds"). InterWest Management Partners VIII, LLC ("IMP8") is the General Partner of IW8, II8 and IIQ8 and has sole voting and investment control over the shares owned by IW8, II8 and IIQ8. Harvey B. Cash, Philip T. Gianos, W. Stephen Holmes, Gilbert H. Kliman and Arnold L. Oronsky are Managing Directors of IMP8 and disclaim beneficial ownership of those securities, except to the extent of their pecuniary interest therein.
Shares purchased in the Issuer's initial public offering at the intial public offering price of $12.00 per share as follows: 73,063 by InterWest Partners VIII, LP ("IW8"), 583 by InterWest Investors VIII, LP ("II8") and 2,090 by InterWest Investors Q VIII, LP ("IIQ8") (collectively, the "InterWest Funds").
These securities are held as follows: 1,400,956 by InterWest Partners VIII, LP ("IW8"), 11,180 by InterWest Investors VIII, LP ("II8") and 40,080 by InterWest Investors Q VIII, LP ("IIQ8") (collectively, the "InterWest Funds"). InterWest Management Partners VIII, LLC ("IMP8") is the General Partner of IW8, II8 and IIQ8 and has sole voting and investment control over the shares owned by IW8, II8 and IIQ8. Harvey B. Cash, Philip T. Gianos, W. Stephen Holmes, Gilbert H. Kliman and Arnold L. Oronsky are Managing Directors of IMP8 and disclaim beneficial ownership of those securities, except to the extent of their pecuniary interest therein.
The shares had no expiration date.
These securities are held as follows: 666,318 by InterWest Partners VIII, LP ("IW8"), 5,318 by InterWest Investors VIII, LP ("II8") and 19,063 by InterWest Investors Q VIII, LP ("IIQ8") (collectively, the "InterWest Funds"). InterWest Management Partners VIII, LLC ("IMP8") is the General Partner of IW8, II8 and IIQ8 and has sole voting and investment control over the shares owned by IW8, II8 and IIQ8. Harvey B. Cash, Philip T. Gianos, W. Stephen Holmes, Gilbert H. Kliman and Arnold L. Oronsky are Managing Directors of IMP8 and disclaim beneficial ownership of those securities, except to the extent of their pecuniary interest therein.
These securities are held as follows: 176,662 by IW8, 1,410 by II8 and 5,054 by IIQ8. IMP8 is the General Partner of IW8, II8 and IIQ8 and has sole voting and investment control over the shares owned by IW8, II8 and IIQ8. Harvey B. Cash, Philip T. Gianos, W. Stephen Holmes, Gilbert H. Kliman and Arnold L. Oronsky are Managing Directors of IMP8 and disclaim beneficial ownership of those securities, except to the extent of their pecuniary interest therein.
These securities are held as follows: 327,830 by IW8, 2,616 by II8 and 9,379 by IIQ8. IMP8 is the General Partner of IW8, II8 and IIQ8 and has sole voting and investment control over the shares owned by IW8, II8 and IIQ8. Harvey B. Cash, Philip T. Gianos, W. Stephen Holmes, Gilbert H. Kliman and Arnold L. Oronsky are Managing Directors of IMP8 and disclaim beneficial ownership of those securities, except to the extent of their pecuniary interest therein.
These securities are held as follows: 157,083 by IW8, 1,253 by II8 and 4,494 by IIQ8. IMP8 is the General Partner of IW8, II8 and IIQ8 and has sole voting and investment control over the shares owned by IW8, II8 and IIQ8. Harvey B. Cash, Philip T. Gianos, W. Stephen Holmes, Gilbert H. Kliman and Arnold L. Oronsky are Managing Directors of IMP8 and disclaim beneficial ownership of those securities, except to the extent of their pecuniary interest therein.
Each share of Series B-1 preferred stock automatically converted into shares of common stock upon the closing of the Issure's initial public offering on a 1-for-35 basis.
Warrant was fully exercisable upon original issue.
These securities are held as follows: 401,663 by IW8, 3,206 by II8 and 11,492 by IIQ8. IMP8 is the General Partner of IW8, II8 and IIQ8 and has sole voting and investment control over the shares owned by IW8, II8 and IIQ8. Harvey B. Cash, Philip T. Gianos, W. Stephen Holmes, Gilbert H. Kliman and Arnold L. Oronsky are Managing Directors of IMP8 and disclaim beneficial ownership of those securities, except to the extent of their pecuniary interest therein.
These securities are held as follows: 11,476 by InterWest Partners VIII, LP ("IW8"), 91 by InterWest Investors VIII, LP ("II8") and 328 by InterWest Investors Q VIII, LP ("IIQ8") (collectively, the "InterWest Funds"). InterWest Management Partners VIII, LLC ("IMP8") is the General Partner of IW8, II8 and IIQ8 and has sole voting and investment control over the shares owned by IW8, II8 and IIQ8. Harvey B. Cash, Philip T. Gianos, W. Stephen Holmes, Gilbert H. Kliman and Arnold L. Oronsky are Managing Directors of IMP8 and disclaim beneficial ownership of those securities, except to the extent of their pecuniary interest therein.