0000903423-14-000174.txt : 20140326
0000903423-14-000174.hdr.sgml : 20140326
20140326182814
ACCESSION NUMBER: 0000903423-14-000174
CONFORMED SUBMISSION TYPE: 3
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20140326
FILED AS OF DATE: 20140326
DATE AS OF CHANGE: 20140326
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: APPLIED GENETIC TECHNOLOGIES CORP
CENTRAL INDEX KEY: 0001273636
STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836]
IRS NUMBER: 593553710
STATE OF INCORPORATION: DE
FISCAL YEAR END: 0630
BUSINESS ADDRESS:
STREET 1: 11801 RESEARCH DRIVE
STREET 2: SUITE D
CITY: ALACHUA
STATE: FL
ZIP: 32615
BUSINESS PHONE: 386-462-2204
MAIL ADDRESS:
STREET 1: 11801 RESEARCH DRIVE
STREET 2: SUITE D
CITY: ALACHUA
STATE: FL
ZIP: 32615
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: GLAXOSMITHKLINE PLC
CENTRAL INDEX KEY: 0001131399
STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834]
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36370
FILM NUMBER: 14719757
BUSINESS ADDRESS:
STREET 1: 980 GREAT WEST ROAD
CITY: BRENTFORD MIDDLESEX
STATE: X0
ZIP: TW8 9GS
BUSINESS PHONE: 011442080475000
MAIL ADDRESS:
STREET 1: 980 GREAT WEST ROAD
CITY: BRENTFORD MIDDLESEX
STATE: X0
ZIP: TW8 9GS
3
1
gsk.xml
OWNERSHIP DOCUMENT
X0206
3
2014-03-26
0
0001273636
APPLIED GENETIC TECHNOLOGIES CORP
AGTC
0001131399
GLAXOSMITHKLINE PLC
980 GREAT WEST ROAD
BRENTFORD MIDDLESEX
X0
TW8 9GS
UNITED KINGDOM
0
0
1
0
Series B-1 Convertible Preferred Stock
Common Stock
503579
I
See Footnote
Series B-2 Convertible Preferred Stock
Common Stock
934487
I
See Footnote
Series B-3 Convertible Preferred Stock
Common Stock
447770
I
See Footnote
Stock Option (Right to Buy)
12.00
2024-03-26
Common Stock
9375
I
See Footnote
Each share of convertible preferred stock is convertible into shares of common stock at any time at the holder's election or upon the consummation of a qualified public offering of the registrant on a 1-for-35 basis. The convertible preferred stock has no expiration date.
Held of record by S.R. One Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc (the "Reporting Person").
The stock option becomes exercisable in equal yearly installments over three years from the date of grant, on March 26, 2014.
The stock option was granted to Jill Carroll, a director of the Issuer. Ms. Carroll is a senior associate of S.R. One, Limited and an employee of GlaxoSmithKline LLC, a wholly-owned subsidiary of GlaxoSmithKline plc. As an associate of S.R. One, Limited and an employee of GlaxoSmithKline LLC, Ms. Carroll is obligated to transfer any shares issued under the option to S.R. One, Limited.
/s/ Victoria Whyte, authorized representative
2014-03-26