Filing Details
- Accession Number:
- 0001209191-14-024141
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-04-01 16:31:15
- Reporting Period:
- 2014-04-01
- Filing Date:
- 2014-04-01
- Accepted Time:
- 2014-04-01 16:31:15
- 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 |
|---|---|---|---|---|---|---|---|
| 1602725 | James Rosen | C/O Applied Genetic Technologies Corp 11801 Research Drive, Suite D Alachua FL 32615 | 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 | 1,142,666 | $0.00 | 1,142,666 | No | 4 | C | Indirect | See footnotes |
| Common Stock | Acquisiton | 2014-04-01 | 62,871 | $12.00 | 1,205,537 | No | 4 | P | Indirect | See footnotes |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | C | Indirect | See footnotes |
| No | 4 | P | Indirect | See footnotes |
Reported Derivative Transactions
| 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 | 10,443,612 | $0.00 | 628,399 | $0.00 |
| Common Stock | Series B-1 Convertible Preferred Stock | Disposition | 2014-04-01 | 4,806,416 | $0.00 | 137,326 | $0.00 |
| Common Stock | Series B-2 Convertible Preferred Stock | Disposition | 2014-04-01 | 8,919,218 | $0.00 | 254,834 | $0.00 |
| Common Stock | Series B-3 Convertible Preferred Stock | Disposition | 2014-04-01 | 4,273,746 | $0.00 | 122,107 | $0.00 |
| Series B-1 Convertible Preferred Stock | Series B-1 Warrant (Right to Buy) | Disposition | 2014-04-01 | 312,228 | $0.00 | 312,228 | $0.13 |
| Common Stock | Common Stock Warrant (Right to Buy) | Acquisiton | 2014-04-01 | 8,920 | $0.00 | 8,920 | $4.54 |
| 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 | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | 2017-05-02 | No | 4 | C | Indirect | |
| 8,920 | 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.
- Shares are held of record by Intersouth Partners VI, L.P. Intersouth Associates VI, LLC is the general partner of Intersouth Partners VI, L.P. The reporting person is a partner at Intersouth Associates VI, LLC. The reporting person disclaims beneficial ownership of all the shares held by Intersouth Partners VI, L.P. 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 his 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.
- 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.
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