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