Filing Details
- Accession Number:
- 0001209191-14-024134
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-04-01 16:28:32
- Reporting Period:
- 2014-04-01
- Filing Date:
- 2014-04-01
- Accepted Time:
- 2014-04-01 16:28:32
- 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 |
|---|---|---|---|---|---|---|---|
| 1198321 | Farah Champsi | One Embarcadero Center, 37Th Floor San Francisco FL 94111 | No | No | Yes | No | |
| 1198325 | Daniel Janney | One Embarcadero Center, 37Th Floor San Francisco FL 94111 | No | No | Yes | No | |
| 1198330 | P Guy Nohra | One Embarcadero Center, 37Th Floor San Francisco FL 94111 | No | No | Yes | No | |
| 1399763 | Alta Partners Viii, L.p. | One Embarcadero Center, 37Th Floor San Francisco FL 94111 | No | No | Yes | No | |
| 1399894 | Alta Partners Management Viii, Llc | One Embarcadero Center, 37Th Floor San Francisco FL 94111 | 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 | 2,828,755 | $0.00 | 2,828,755 | No | 4 | C | Indirect | Direct and indirect - see footnotes |
| Common Stock | Acquisiton | 2014-04-01 | 155,645 | $12.00 | 2,984,400 | No | 4 | P | Indirect | Direct and indirect - see footnotes |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | C | Indirect | Direct and indirect - see footnotes |
| No | 4 | P | Indirect | Direct and indirect - see footnotes |
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 | 26,437,934 | $0.00 | 755,369 | $0.00 |
| Common Stock | Series B-2 Convertible Preferred Stock | Disposition | 2014-04-01 | 49,060,606 | $0.00 | 1,401,731 | $0.00 |
| Common Stock | Series B-3 Convertible Preferred Stock | Disposition | 2014-04-01 | 23,507,953 | $0.00 | 671,655 | $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 upon the closing of the Issuer's initial public offering, and had no expiration date.
- The securities are held of record by Alta Partners VIII, L.P. ("APVIII"). Alta Partners Management VIII, LLC ("APMVIII") is the general partner of APVIII. Guy Nohra, Daniel Janney and Farah Champsi are managing directors of APMVIII and exercise shared voting and investment power with respect to the shares owned by APVIII. Each of the reporting persons disclaims beneficial ownership of such securities, except to the extent of his, her or its 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
