APPLIED GENETIC TECHNOLOGIES CORP Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 81 rows in 2022. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2022-11-30: Reporting owner Robinson James A. Jr.; Form 4; Security Stock Option (Right to Buy); Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2022-11-30: Reporting owner VANLENT ANNE; Form 4; Security Stock Option (Right to Buy); Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2022-11-30: Reporting owner VANLENT ANNE; Form 4; Security Stock Option (Right to Buy); Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2022-11-30: Reporting owner VANLENT ANNE; Form 4; Security Stock Option (Right to Buy); Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2022-11-30 | Robinson James A. Jr. Director | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −25,000 0 owned after | $2.17 exercise price | 2022-12-01 | |
| 2022-11-30 | VANLENT ANNE Director | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −16,000 0 owned after | $15.13 exercise price | 2022-12-01 | |
| 2022-11-30 | VANLENT ANNE Director | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −8,000 0 owned after | $7.75 exercise price | 2022-12-01 | |
| 2022-11-30 | VANLENT ANNE Director | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −10,000 0 owned after | $4.25 exercise price | 2022-12-01 | |
| 2022-11-30 | VANLENT ANNE Director | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −10,000 0 owned after | $6.90 exercise price | 2022-12-01 | |
| 2022-11-30 | VANLENT ANNE Director | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −10,000 0 owned after | $3.02 exercise price | 2022-12-01 | |
| 2022-11-30 | VANLENT ANNE Director | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −12,000 0 owned after | $4.72 exercise price | 2022-12-01 | |
| 2022-11-30 | VANLENT ANNE Director | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −14,000 0 owned after | $2.17 exercise price | 2022-12-01 | |
| 2022-11-30 | Rosen James Director | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −9,375 0 owned after | $12.00 exercise price | 2022-12-01 | |
| 2022-11-30 | Rosen James Director | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −4,688 0 owned after | $20.83 exercise price | 2022-12-01 | |
| 2022-11-30 | Rosen James Director | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −6,200 0 owned after | $16.06 exercise price | 2022-12-01 | |
| 2022-11-30 | Rosen James Director | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −8,000 0 owned after | $7.75 exercise price | 2022-12-01 | |
| 2022-11-30 | Rosen James Director | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −10,000 0 owned after | $4.25 exercise price | 2022-12-01 | |
| 2022-11-30 | Rosen James Director | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −10,000 0 owned after | $6.90 exercise price | 2022-12-01 | |
| 2022-11-30 | Rosen James Director | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −10,000 0 owned after | $3.02 exercise price | 2022-12-01 | |
| 2022-11-30 | Rosen James Director | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −12,000 0 owned after | $4.72 exercise price | 2022-12-01 | |
| 2022-11-30 | Rosen James Director | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −14,000 0 owned after | $2.17 exercise price | 2022-12-01 | |
| 2022-11-30 | Aliski William Director | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −25,000 0 owned after | $4.40 exercise price | 2022-12-01 | |
| 2022-11-30 | Aliski William Director | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −10,000 0 owned after | $6.90 exercise price | 2022-12-01 | |
| 2022-11-30 | Aliski William Director | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −10,000 0 owned after | $3.02 exercise price | 2022-12-01 | |
| 2022-11-30 | Aliski William Director | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −12,000 0 owned after | $4.72 exercise price | 2022-12-01 | |
| 2022-11-30 | Aliski William Director | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −14,000 0 owned after | $2.17 exercise price | 2022-12-01 | |
| 2022-11-30 | HURWITZ EDWARD Director | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −9,375 0 owned after | $12.00 exercise price | 2022-12-01 | |
| 2022-11-30 | HURWITZ EDWARD Director | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −4,688 0 owned after | $20.83 exercise price | 2022-12-01 | |
| 2022-11-30 | HURWITZ EDWARD Director | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −6,200 0 owned after | $16.06 exercise price | 2022-12-01 | |
| 2022-11-30 | HURWITZ EDWARD Director | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −8,000 0 owned after | $7.75 exercise price | 2022-12-01 | |
| 2022-11-30 | HURWITZ EDWARD Director | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −10,000 0 owned after | $4.25 exercise price | 2022-12-01 | |
| 2022-11-30 | HURWITZ EDWARD Director | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −10,000 0 owned after | $6.90 exercise price | 2022-12-01 | |
| 2022-11-30 | HURWITZ EDWARD Director | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −10,000 0 owned after | $3.02 exercise price | 2022-12-01 | |
| 2022-11-30 | HURWITZ EDWARD Director | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −12,000 0 owned after | $4.72 exercise price | 2022-12-01 | |
| 2022-11-30 | HURWITZ EDWARD Director | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −14,000 0 owned after | $2.17 exercise price | 2022-12-01 | |
| 2022-11-30 | Hashad Yehia Director | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −25,000 0 owned after | $3.42 exercise price | 2022-12-01 | |
| 2022-11-30 | Hashad Yehia Director | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −14,000 0 owned after | $2.17 exercise price | 2022-12-01 | |
| 2022-11-30 | Koenig Scott Director | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −14,285 0 owned after | $4.90 exercise price | 2022-12-01 | |
| 2022-11-30 | Koenig Scott Director | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −9,375 0 owned after | $12.00 exercise price | 2022-12-01 | |
| 2022-11-30 | Koenig Scott Director | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −4,688 0 owned after | $20.83 exercise price | 2022-12-01 | |
| 2022-11-30 | Koenig Scott Director | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −6,200 0 owned after | $16.06 exercise price | 2022-12-01 | |
| 2022-11-30 | Koenig Scott Director | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −8,000 0 owned after | $7.75 exercise price | 2022-12-01 | |
| 2022-11-30 | Koenig Scott Director | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −10,000 0 owned after | $4.25 exercise price | 2022-12-01 | |
| 2022-11-30 | Koenig Scott Director | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −10,000 0 owned after | $6.90 exercise price | 2022-12-01 | |
| 2022-11-30 | Koenig Scott Director | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −10,000 0 owned after | $3.02 exercise price | 2022-12-01 | |
| 2022-11-30 | Koenig Scott Director | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −12,000 0 owned after | $4.72 exercise price | 2022-12-01 | |
| 2022-11-30 | Koenig Scott Director | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −14,000 0 owned after | $2.17 exercise price | 2022-12-01 | |
| 2022-11-30 | Reynolds Gerald Anthony Officer (Chief Accounting Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −50,000 0 owned after | $3.28 exercise price | 2022-12-01 | |
| 2022-11-30 | Reynolds Gerald Anthony Officer (Chief Accounting Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −30,000 0 owned after | $5.50 exercise price | 2022-12-01 | |
| 2022-11-30 | Reynolds Gerald Anthony Officer (Chief Accounting Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −34,500 0 owned after | $3.70 exercise price | 2022-12-01 | |
| 2022-11-30 | Scaria Abraham Officer (Chief Scientific Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −220,000 0 owned after | $1.98 exercise price | 2022-12-01 | |
| 2022-11-30 | Scaria Abraham Officer (Chief Scientific Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −124,500 0 owned after | $0.40 exercise price | 2022-12-01 | |
| 2022-11-30 | Potter Stephen W Officer (Chief Business Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −131,049 0 owned after | $24.62 exercise price | 2022-12-01 | |
| 2022-11-30 | Potter Stephen W Officer (Chief Business Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −51,000 0 owned after | $18.48 exercise price | 2022-12-01 | |
| 2022-11-30 | Potter Stephen W Officer (Chief Business Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −50,000 0 owned after | $15.57 exercise price | 2022-12-01 | |
| 2022-11-30 | Potter Stephen W Officer (Chief Business Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −50,000 0 owned after | $4.90 exercise price | 2022-12-01 | |
| 2022-11-30 | Potter Stephen W Officer (Chief Business Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −85,000 0 owned after | $4.25 exercise price | 2022-12-01 | |
| 2022-11-30 | Potter Stephen W Officer (Chief Business Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −52,000 0 owned after | $3.00 exercise price | 2022-12-01 | |
| 2022-11-30 | Potter Stephen W Officer (Chief Business Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −50,000 0 owned after | $5.50 exercise price | 2022-12-01 | |
| 2022-11-30 | Potter Stephen W Officer (Chief Business Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −60,000 0 owned after | $3.74 exercise price | 2022-12-01 | |
| 2022-11-30 | Potter Stephen W Officer (Chief Business Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −133,100 0 owned after | $0.40 exercise price | 2022-12-01 | |
| 2022-11-30 | DOyley-Gay Hope Officer (General Counsel) | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −180,000 0 owned after | $2.02 exercise price | 2022-12-01 | |
| 2022-11-30 | DOyley-Gay Hope Officer (General Counsel) | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −147,900 0 owned after | $0.40 exercise price | 2022-12-01 | |
| 2022-11-30 | Schneider Susan Officer (Chief Medical Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −180,000 0 owned after | $2.76 exercise price | 2022-12-01 | |
| 2022-11-30 | Schneider Susan Officer (Chief Medical Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −142,300 0 owned after | $0.40 exercise price | 2022-12-01 | |
| 2022-11-30 | Lieber Jonathan I Officer (Chief Financial Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −202,000 0 owned after | $3.30 exercise price | 2022-12-01 | |
| 2022-11-30 | Lieber Jonathan I Officer (Chief Financial Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −154,700 0 owned after | $0.40 exercise price | 2022-12-01 | |
| 2022-11-30 | Washer Susan B. Director, Officer (President and CEO) | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −140,000 0 owned after | $4.90 exercise price | 2022-12-01 | |
| 2022-11-30 | Washer Susan B. Director, Officer (President and CEO) | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −99,156 0 owned after | $14.08 exercise price | 2022-12-01 | |
| 2022-11-30 | Washer Susan B. Director, Officer (President and CEO) | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −55,780 0 owned after | $16.00 exercise price | 2022-12-01 | |
| 2022-11-30 | Washer Susan B. Director, Officer (President and CEO) | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −80,000 0 owned after | $18.48 exercise price | 2022-12-01 | |
| 2022-11-30 | Washer Susan B. Director, Officer (President and CEO) | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −80,000 0 owned after | $15.57 exercise price | 2022-12-01 | |
| 2022-11-30 | Washer Susan B. Director, Officer (President and CEO) | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −100,000 0 owned after | $4.90 exercise price | 2022-12-01 | |
| 2022-11-30 | Washer Susan B. Director, Officer (President and CEO) | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −100,000 0 owned after | $4.25 exercise price | 2022-12-01 | |
| 2022-11-30 | Washer Susan B. Director, Officer (President and CEO) | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −100,000 0 owned after | $3.00 exercise price | 2022-12-01 | |
| 2022-11-30 | Washer Susan B. Director, Officer (President and CEO) | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −169,000 0 owned after | $5.50 exercise price | 2022-12-01 | |
| 2022-11-30 | Washer Susan B. Director, Officer (President and CEO) | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −275,000 0 owned after | $3.74 exercise price | 2022-12-01 | |
| 2022-11-30 | Washer Susan B. Director, Officer (President and CEO) | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −442,000 0 owned after | $0.40 exercise price | 2022-12-01 | |
| 2022-08-21 | DOyley-Gay Hope Officer (General Counsel) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +147,900 147,900 owned after | $0.40 exercise price | 2022-08-24 | |
| 2022-08-21 | Potter Stephen W Officer (Chief Business Officer) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +133,100 133,100 owned after | $0.40 exercise price | 2022-08-24 | |
| 2022-08-21 | Scaria Abraham Officer (Chief Scientific Officer) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +124,500 124,500 owned after | $0.40 exercise price | 2022-08-24 | |
| 2022-08-21 | Schneider Susan Officer (Chief Medical Officer) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +142,300 142,300 owned after | $0.40 exercise price | 2022-08-24 | |
| 2022-08-21 | Lieber Jonathan I Officer (Chief Financial Officer) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +154,700 154,700 owned after | $0.40 exercise price | 2022-08-24 | |
| 2022-08-21 | Washer Susan B. Director, Officer (President and CEO) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +442,000 442,000 owned after | $0.40 exercise price | 2022-08-24 | |
| 2022-02-18 | Washer Susan B. Director, Officer (President and CEO) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −120,686 0 owned after | $0.35 exercise price | 2022-02-22 |