APPLIED GENETIC TECHNOLOGIES CORP Forms 3, 4 and 5: Preferred Stock
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 58 rows, 58 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2014-04-01: Reporting owner GLAXOSMITHKLINE PLC; Form 4; Security Series B-1 Convertible Preferred Stock; Transaction C Conversion of derivative security.
- 2014-04-01: Reporting owner GLAXOSMITHKLINE PLC; Form 4; Security Series B-2 Convertible Preferred Stock; Transaction C Conversion of derivative security.
- 2014-04-01: Reporting owner GLAXOSMITHKLINE PLC; Form 4; Security Series B-3 Convertible Preferred Stock; Transaction C Conversion of derivative security.
- 2014-04-01: Reporting owner Wu Samuel; Form 4; Security Series A-1A Convertible Preferred Stock; Transaction C Conversion of derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2014-04-01 | GLAXOSMITHKLINE PLC 10% Owner | 4 | Series B-1 Convertible Preferred Stock Derivative · Indirect · By S.R. One Limited | C Conversion of derivative security | −17,625,289 0 owned after | $0.00 | 2014-04-02 | |
| 2014-04-01 | GLAXOSMITHKLINE PLC 10% Owner | 4 | Series B-2 Convertible Preferred Stock Derivative · Indirect · By S.R. One Limited | C Conversion of derivative security | −32,707,070 0 owned after | $0.00 | 2014-04-02 | |
| 2014-04-01 | GLAXOSMITHKLINE PLC 10% Owner | 4 | Series B-3 Convertible Preferred Stock Derivative · Indirect · By S.R. One Limited | C Conversion of derivative security | −15,671,969 0 owned after | $0.00 | 2014-04-02 | |
| 2014-04-01 | Wu Samuel Director, 10% Owner | 4 | Series A-1A Convertible Preferred Stock Derivative · Indirect · See footnotes | C Conversion of derivative security | −11,478,652 0 owned after | $0.00 | 2014-04-01 | |
| 2014-04-01 | Wu Samuel Director, 10% Owner | 4 | Series B-1 Convertible Preferred Stock Derivative · Indirect · See footnotes | C Conversion of derivative security | −6,409,436 0 owned after | $0.00 | 2014-04-01 | |
| 2014-04-01 | Wu Samuel Director, 10% Owner | 4 | Series B-2 Convertible Preferred Stock Derivative · Indirect · See footnotes | C Conversion of derivative security | −11,893,926 0 owned after | $0.00 | 2014-04-01 | |
| 2014-04-01 | Wu Samuel Director, 10% Owner | 4 | Series B-3 Convertible Preferred Stock Derivative · Indirect · See footnotes | C Conversion of derivative security | −5,699,111 0 owned after | $0.00 | 2014-04-01 | |
| 2014-04-01 | Rosen James Director, 10% Owner | 4 | Series A-1 Convertible Preferred Stock Derivative · Indirect · See footnotes | C Conversion of derivative security | −10,443,612 0 owned after | $0.00 | 2014-04-01 | |
| 2014-04-01 | Rosen James Director, 10% Owner | 4 | Series B-1 Convertible Preferred Stock Derivative · Indirect · See footnotes | C Conversion of derivative security | −4,806,416 0 owned after | $0.00 | 2014-04-01 | |
| 2014-04-01 | Rosen James Director, 10% Owner | 4 | Series B-2 Convertible Preferred Stock Derivative · Indirect · See footnotes | C Conversion of derivative security | −8,919,218 0 owned after | $0.00 | 2014-04-01 | |
| 2014-04-01 | Rosen James Director, 10% Owner | 4 | Series B-3 Convertible Preferred Stock Derivative · Indirect · See footnotes | C Conversion of derivative security | −4,273,746 0 owned after | $0.00 | 2014-04-01 | |
| 2014-04-01 | ORONSKY ARNOLD L Director, 10% Owner | 4 | Series A-1 Convertible Preferred Stock Derivative · Indirect · See footnotes | C Conversion of derivative security | −11,479,011 0 owned after | $0.00 | 2014-04-01 | |
| 2014-04-01 | ORONSKY ARNOLD L Director, 10% Owner | 4 | Series B-1 Convertible Preferred Stock Derivative · Indirect · See footnotes | C Conversion of derivative security | −6,409,436 0 owned after | $0.00 | 2014-04-01 | |
| 2014-04-01 | ORONSKY ARNOLD L Director, 10% Owner | 4 | Series B-2 Convertible Preferred Stock Derivative · Indirect · See footnotes | C Conversion of derivative security | −11,893,926 0 owned after | $0.00 | 2014-04-01 | |
| 2014-04-01 | ORONSKY ARNOLD L Director, 10% Owner | 4 | Series B-3 Convertible Preferred Stock Derivative · Indirect · See footnotes | C Conversion of derivative security | −5,699,111 0 owned after | $0.00 | 2014-04-01 | |
| 2014-04-01 | MedImmune Ventures, Inc. 10% Owner | 4 | Series A-1A Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −11,478,652 0 owned after | $0.00 | 2014-04-01 | |
| 2014-04-01 | MedImmune Ventures, Inc. 10% Owner | 4 | Series B-1 Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −6,409,436 0 owned after | $0.00 | 2014-04-01 | |
| 2014-04-01 | MedImmune Ventures, Inc. 10% Owner | 4 | Series B-2 Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −11,893,926 0 owned after | $0.00 | 2014-04-01 | |
| 2014-04-01 | MedImmune Ventures, Inc. 10% Owner | 4 | Series B-3 Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −5,699,111 0 owned after | $0.00 | 2014-04-01 | |
| 2014-04-01 | Carroll Jill Director, 10% Owner | 4 | Series B-1 Convertible Preferred Stock Derivative · Indirect · By S.R. One Limited | C Conversion of derivative security | −17,625,289 0 owned after | $0.00 | 2014-04-01 | |
| 2014-04-01 | Carroll Jill Director, 10% Owner | 4 | Series B-2 Convertible Preferred Stock Derivative · Indirect · By S.R. One Limited | C Conversion of derivative security | −32,707,070 0 owned after | $0.00 | 2014-04-01 | |
| 2014-04-01 | Carroll Jill Director, 10% Owner | 4 | Series B-3 Convertible Preferred Stock Derivative · Indirect · By S.R. One Limited | C Conversion of derivative security | −15,671,969 0 owned after | $0.00 | 2014-04-01 | |
| 2014-04-01 | JANNEY DANIEL | Alta Partners Management VIII, LLC | Alta Partners VIII, L.P. | CHAMPSI FARAH | NOHRA GUY P 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series B-1 Convertible Preferred Stock Derivative · Indirect · Direct and indirect - see footnotes | C Conversion of derivative security | −26,437,934 0 owned after | $0.00 | 2014-04-01 | |
| 2014-04-01 | JANNEY DANIEL | Alta Partners Management VIII, LLC | Alta Partners VIII, L.P. | CHAMPSI FARAH | NOHRA GUY P 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series B-2 Convertible Preferred Stock Derivative · Indirect · Direct and indirect - see footnotes | C Conversion of derivative security | −49,060,606 0 owned after | $0.00 | 2014-04-01 | |
| 2014-04-01 | JANNEY DANIEL | Alta Partners Management VIII, LLC | Alta Partners VIII, L.P. | CHAMPSI FARAH | NOHRA GUY P 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series B-3 Convertible Preferred Stock Derivative · Indirect · Direct and indirect - see footnotes | C Conversion of derivative security | −23,507,953 0 owned after | $0.00 | 2014-04-01 | |
| 2014-04-01 | CASH HARVEY B | GIANOS PHILIP T | INTERWEST PARTNERS VIII LP | Kliman Gilbert H | INTERWEST INVESTORS VIII L P | InterWest Management Partners VIII, LLC | INTERWEST INVESTORS Q VIII LP | Holmes W Stephen 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series A-1 Convertible Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −11,479,011 0 owned after | $0.00 | 2014-04-01 | |
| 2014-04-01 | CASH HARVEY B | GIANOS PHILIP T | INTERWEST PARTNERS VIII LP | Kliman Gilbert H | INTERWEST INVESTORS VIII L P | InterWest Management Partners VIII, LLC | INTERWEST INVESTORS Q VIII LP | Holmes W Stephen 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series B-1 Convertible Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −6,409,436 0 owned after | $0.00 | 2014-04-01 | |
| 2014-04-01 | CASH HARVEY B | GIANOS PHILIP T | INTERWEST PARTNERS VIII LP | Kliman Gilbert H | INTERWEST INVESTORS VIII L P | InterWest Management Partners VIII, LLC | INTERWEST INVESTORS Q VIII LP | Holmes W Stephen 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series B-2 Convertible Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −11,893,926 0 owned after | $0.00 | 2014-04-01 | |
| 2014-04-01 | CASH HARVEY B | GIANOS PHILIP T | INTERWEST PARTNERS VIII LP | Kliman Gilbert H | INTERWEST INVESTORS VIII L P | InterWest Management Partners VIII, LLC | INTERWEST INVESTORS Q VIII LP | Holmes W Stephen 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series B-3 Convertible Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −5,699,111 0 owned after | $0.00 | 2014-04-01 | |
| 2014-03-26 holding as of filing | GLAXOSMITHKLINE PLC 10% Owner | 3 | Series B-1 Convertible Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2014-03-26 | ||
| 2014-03-26 holding as of filing | GLAXOSMITHKLINE PLC 10% Owner | 3 | Series B-2 Convertible Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2014-03-26 | ||
| 2014-03-26 holding as of filing | GLAXOSMITHKLINE PLC 10% Owner | 3 | Series B-3 Convertible Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2014-03-26 | ||
| 2014-03-26 holding as of filing | MedImmune Ventures, Inc. 10% Owner | 3 | Series A-1A Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2014-03-26 | ||
| 2014-03-26 holding as of filing | MedImmune Ventures, Inc. 10% Owner | 3 | Series B-1 Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2014-03-26 | ||
| 2014-03-26 holding as of filing | MedImmune Ventures, Inc. 10% Owner | 3 | Series B-2 Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2014-03-26 | ||
| 2014-03-26 holding as of filing | MedImmune Ventures, Inc. 10% Owner | 3 | Series B-3 Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2014-03-26 | ||
| 2014-03-26 holding as of filing | Wu Samuel Director, 10% Owner | 3 | Series A-1A Convertible Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2014-03-26 | ||
| 2014-03-26 holding as of filing | Wu Samuel Director, 10% Owner | 3 | Series B-1 Convertible Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2014-03-26 | ||
| 2014-03-26 holding as of filing | Wu Samuel Director, 10% Owner | 3 | Series B-2 Convertible Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2014-03-26 | ||
| 2014-03-26 holding as of filing | Wu Samuel Director, 10% Owner | 3 | Series B-3 Convertible Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2014-03-26 | ||
| 2014-03-26 holding as of filing | Rosen James Director, 10% Owner | 3 | Series A-1 Convertible Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2014-03-26 | ||
| 2014-03-26 holding as of filing | Rosen James Director, 10% Owner | 3 | Series B-1 Convertible Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2014-03-26 | ||
| 2014-03-26 holding as of filing | Rosen James Director, 10% Owner | 3 | Series B-2 Convertible Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2014-03-26 | ||
| 2014-03-26 holding as of filing | Rosen James Director, 10% Owner | 3 | Series B-3 Convertible Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2014-03-26 | ||
| 2014-03-26 holding as of filing | ORONSKY ARNOLD L Director, 10% Owner | 3 | Series A-1 Convertible Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2014-03-26 | ||
| 2014-03-26 holding as of filing | ORONSKY ARNOLD L Director, 10% Owner | 3 | Series B-1 Convertible Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2014-03-26 | ||
| 2014-03-26 holding as of filing | ORONSKY ARNOLD L Director, 10% Owner | 3 | Series B-2 Convertible Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2014-03-26 | ||
| 2014-03-26 holding as of filing | ORONSKY ARNOLD L Director, 10% Owner | 3 | Series B-3 Convertible Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2014-03-26 | ||
| 2014-03-26 holding as of filing | Carroll Jill Director, 10% Owner | 3 | Series B-1 Convertible Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2014-03-26 | ||
| 2014-03-26 holding as of filing | Carroll Jill Director, 10% Owner | 3 | Series B-2 Convertible Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2014-03-26 | ||
| 2014-03-26 holding as of filing | Carroll Jill Director, 10% Owner | 3 | Series B-3 Convertible Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2014-03-26 | ||
| 2014-03-26 holding as of filing | Alta Partners VIII, L.P. | Alta Partners Management VIII, LLC | CHAMPSI FARAH | JANNEY DANIEL | NOHRA GUY P 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series B-1 Convertible Preferred Stock Derivative · Indirect · Direct and indirect - see footnotes | Holding | no price filed | 2014-03-26 | ||
| 2014-03-26 holding as of filing | Alta Partners VIII, L.P. | Alta Partners Management VIII, LLC | CHAMPSI FARAH | JANNEY DANIEL | NOHRA GUY P 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series B-2 Convertible Preferred Stock Derivative · Indirect · Direct and indirect - see footnotes | Holding | no price filed | 2014-03-26 | ||
| 2014-03-26 holding as of filing | Alta Partners VIII, L.P. | Alta Partners Management VIII, LLC | CHAMPSI FARAH | JANNEY DANIEL | NOHRA GUY P 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series B-3 Convertible Preferred Stock Derivative · Indirect · Direct and indirect - see footnotes | Holding | no price filed | 2014-03-26 | ||
| 2014-03-26 holding as of filing | INTERWEST INVESTORS Q VIII LP | Kliman Gilbert H | INTERWEST PARTNERS VIII LP | Holmes W Stephen | INTERWEST INVESTORS VIII L P | CASH HARVEY B | InterWest Management Partners VIII, LLC | GIANOS PHILIP T 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series A-1 Convertible Preferred Stock Derivative · Indirect · See footnote | Holding | no price filed | 2014-03-26 | ||
| 2014-03-26 holding as of filing | INTERWEST INVESTORS Q VIII LP | Kliman Gilbert H | INTERWEST PARTNERS VIII LP | Holmes W Stephen | INTERWEST INVESTORS VIII L P | CASH HARVEY B | InterWest Management Partners VIII, LLC | GIANOS PHILIP T 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series B-1 Convertible Preferred Stock Derivative · Indirect · See footnote | Holding | no price filed | 2014-03-26 | ||
| 2014-03-26 holding as of filing | INTERWEST INVESTORS Q VIII LP | Kliman Gilbert H | INTERWEST PARTNERS VIII LP | Holmes W Stephen | INTERWEST INVESTORS VIII L P | CASH HARVEY B | InterWest Management Partners VIII, LLC | GIANOS PHILIP T 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series B-2 Convertible Preferred Stock Derivative · Indirect · See footnote | Holding | no price filed | 2014-03-26 | ||
| 2014-03-26 holding as of filing | INTERWEST INVESTORS Q VIII LP | Kliman Gilbert H | INTERWEST PARTNERS VIII LP | Holmes W Stephen | INTERWEST INVESTORS VIII L P | CASH HARVEY B | InterWest Management Partners VIII, LLC | GIANOS PHILIP T 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series B-3 Convertible Preferred Stock Derivative · Indirect · See footnote | Holding | no price filed | 2014-03-26 |