0001209191-14-024135.txt : 20140401
0001209191-14-024135.hdr.sgml : 20140401
20140401162910
ACCESSION NUMBER: 0001209191-14-024135
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20140401
FILED AS OF DATE: 20140401
DATE AS OF CHANGE: 20140401
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: Carroll Jill
CENTRAL INDEX KEY: 0001598542
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36370
FILM NUMBER: 14734588
MAIL ADDRESS:
STREET 1: C/O APPLIED GENETIC TECHNOLOGIES CORP.
STREET 2: 11801 RESEARCH DRIVE, SUITE D
CITY: ALACHUA
STATE: FL
ZIP: 32615
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2014-04-01
0
0001273636
APPLIED GENETIC TECHNOLOGIES CORP
AGTC
0001598542
Carroll Jill
C/O S.R. ONE, LIMITED
161 WASHINGTON STREET, SUITE 500
CONSHOHOCKEN
PA
19428
1
0
1
0
Common Stock
2014-04-01
4
C
0
1885836
A
1885836
I
By S.R. One Limited
Common Stock
2014-04-01
4
P
0
103762
12.00
A
1989598
I
By S.R. One Limited
Series B-1 Convertible Preferred Stock
2014-04-01
4
C
0
17625289
0.00
D
Common Stock
503579
0
I
By S.R. One Limited
Series B-2 Convertible Preferred Stock
2014-04-01
4
C
0
32707070
0.00
D
Common Stock
934487
0
I
By S.R. One Limited
Series B-3 Convertible Preferred Stock
2014-04-01
4
C
0
15671969
0.00
D
Common Stock
447770
0
I
By S.R. One Limited
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.
Shares are held of record by S.R. One, Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline PLC. The reporting person is a senior associate at S.R. One, Limited and an employee of GlaxoSmithKline LLC, a wholly-owned subsidiary of GlaxoSmithKline PLC. The reporting person disclaims beneficial ownership of all the shares held by S.R. One, Limited 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 her 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.
/s/ Hemmie Chang, attorney-in-fact for Jill Carroll
2014-04-01