Filing Details
- Accession Number:
- 0001209191-14-024135
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-04-01 16:29:10
- Reporting Period:
- 2014-04-01
- Filing Date:
- 2014-04-01
- Accepted Time:
- 2014-04-01 16:29:10
- 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 | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1598542 | Jill Carroll | C/O S.r. One, Limited 161 Washington Street, Suite 500 Conshohocken PA 19428 | Yes | No | Yes | No |
Reported Non-Derivative Transactions
| 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 | 1,885,836 | $0.00 | 1,885,836 | No | 4 | C | Indirect | By S.R. One Limited |
| Common Stock | Acquisiton | 2014-04-01 | 103,762 | $12.00 | 1,989,598 | No | 4 | P | Indirect | By S.R. One Limited |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | C | Indirect | By S.R. One Limited |
| No | 4 | P | Indirect | By S.R. One Limited |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Series B-1 Convertible Preferred Stock | Disposition | 2014-04-01 | 17,625,289 | $0.00 | 503,579 | $0.00 |
| Common Stock | Series B-2 Convertible Preferred Stock | Disposition | 2014-04-01 | 32,707,070 | $0.00 | 934,487 | $0.00 |
| Common Stock | Series B-3 Convertible Preferred Stock | Disposition | 2014-04-01 | 15,671,969 | $0.00 | 447,770 | $0.00 |
| Remaning Holdings | Exercise Date | 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 |
Footnotes
- Each share of convertible preferred stock converted automatically into common stock, on a 1-for-35 basis, upon the closing of the Issuer's initial public offering, and had no expiration date.
- Shares are held of record by S.R. One, Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline PLC. The reporting person is a senior associate at S.R. One, Limited and an employee of GlaxoSmithKline LLC, a wholly-owned subsidiary of GlaxoSmithKline PLC. The reporting person disclaims beneficial ownership of all the shares held by S.R. One, Limited and this report shall not be deemed an admission of beneficial ownership of such shares for the purposes of Section 16 or for any other purpose except to the extent of her proportionate pecuniary interest therein.
- Shares purchased in the Issuer's initial public offering at the initial public offering price of $12.00 per share.
- Not applicable.
Billionaire Hedge Funds
