Filing Details
- Accession Number:
- 0000903423-14-000198
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-04-02 12:42:08
- Reporting Period:
- 2014-04-01
- Filing Date:
- 2014-04-02
- Accepted Time:
- 2014-04-02 12:42:08
- 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 |
|---|---|---|---|---|---|---|---|
| 1131399 | Plc Glaxosmithkline | 980 Great West Road Brentford Middlesex X0 TW8 9GS | 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 | 1,885,836 | $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
- Shares purchased in the Issuer's initial public offering at the initial public offering price of $12.00 per share.
- Shares are held by S.R. One, Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline PLC (Reporting Person).
- 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.
- Not applicable.
Billionaire Hedge Funds
