Filing Details
- Accession Number:
- 0001209191-14-024136
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-04-01 16:29:48
- Reporting Period:
- 2014-04-01
- Filing Date:
- 2014-04-01
- Accepted Time:
- 2014-04-01 16:29:48
- 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 |
|---|---|---|---|---|---|---|---|
| 1291884 | Medimmune Ventures, Inc. | One Medimmune Way Gaithersburg MD 20878 | No | 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 | 1,376,461 | $0.00 | 1,376,461 | No | 4 | C | Direct | |
| Common Stock | Acquisiton | 2014-04-01 | 75,735 | $12.00 | 1,452,196 | No | 4 | P | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | C | Direct | |
| No | 4 | P | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Series A-1A Convertible Preferred Stock | Disposition | 2014-04-01 | 11,478,652 | $0.00 | 690,678 | $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 | 339,826 | $0.00 |
| Common Stock | Series B-3 Convertible Preferred Stock | Disposition | 2014-04-01 | 5,699,111 | $0.00 | 162,831 | $0.00 |
| Series B-1 Convertible Preferred Stock | Series B-1 Warrant (Right to Buy) | Disposition | 2014-04-01 | 416,361 | $0.00 | 416,361 | $0.13 |
| Common Stock | Common Stock Warrant (Right to Buy) | Acquisiton | 2014-04-01 | 11,896 | $0.00 | 11,896 | $4.54 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | No | 4 | C | Direct | ||
| 0 | No | 4 | C | Direct | ||
| 0 | No | 4 | C | Direct | ||
| 0 | No | 4 | C | Direct | ||
| 0 | 2017-05-02 | No | 4 | C | Direct | |
| 11,896 | 2017-05-02 | No | 4 | C | Direct |
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.
- Shares purchased in the Issuer's initial public offering at the initial public offering price of $12.00 per share.
- Not applicable.
- Each share of Series B-1 convertible preferred stock automatically converted into shares of common stock upon the closing of the Issuer's initial public offering on a 1-for-35 basis.
- Warrant was fully exercisable upon original issue.
Billionaire Hedge Funds
