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: 47 rows in 2014. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2014-12-22: Reporting owner Menichella Daniel L; Form 4; Security Stock Option (Right to Buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2014-12-19: Reporting owner Rosen James; Form 4; Security Stock Option (Right to Buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2014-12-19: Reporting owner ORONSKY ARNOLD L; Form 4; Security Stock Option (Right to Buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2014-12-19: Reporting owner Magovcevic Ivana; Form 4; Security Stock Option (Right to Buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2014-12-22 | Menichella Daniel L Officer (V.P. & Chief Business Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −9,000 117,968 owned after | $4.90 exercise price | 2014-12-23 | |
| 2014-12-19 | Rosen James Director, 10% Owner | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,688 4,688 owned after | $20.83 exercise price | 2014-12-23 | |
| 2014-12-19 | ORONSKY ARNOLD L Director, 10% Owner | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,688 4,688 owned after | $20.83 exercise price | 2014-12-23 | |
| 2014-12-19 | Magovcevic Ivana Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,688 4,688 owned after | $20.83 exercise price | 2014-12-23 | |
| 2014-12-19 | Koenig Scott Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,688 4,688 owned after | $20.83 exercise price | 2014-12-23 | |
| 2014-12-19 | HURWITZ EDWARD Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,688 4,688 owned after | $20.83 exercise price | 2014-12-23 | |
| 2014-11-13 | Chulay Jeffrey D. Officer (VP and Chief Medical Officer) | 5 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,277 8,028 owned after | $3.50 exercise price | 2015-08-14 | |
| 2014-07-31 | Washer Susan B. Director, Officer (President & CEO) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +55,780 55,780 owned after | $16.00 exercise price | 2014-08-04 | |
| 2014-07-31 | Knop David R. Officer (Director, Process Development) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +7,648 7,648 owned after | $16.00 exercise price | 2014-08-04 | |
| 2014-07-31 | Chulay Jeffrey D. Officer (V.P. & Chief Medical Officer) | 4 | Stock Option(Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +23,250 23,250 owned after | $16.00 exercise price | 2014-08-04 | |
| 2014-07-31 | BULLOCK LAWRENCE E Officer (Chief Financial Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +60,799 60,799 owned after | $16.00 exercise price | 2014-08-04 | |
| 2014-07-11 | Magovcevic Ivana Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +9,375 9,375 owned after | $19.07 exercise price | 2015-09-28 | |
| 2014-04-17 | Menichella Daniel L Officer (V.P. & Chief Business Officer) | 4/A | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +7,567 7,567 owned after | $14.08 exercise price | 2014-04-23 | |
| 2014-04-17 | Washer Susan B. Director, Officer (President & CEO) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +99,156 99,156 owned after | $14.08 exercise price | 2014-04-21 | |
| 2014-04-17 | Menichella Daniel L Officer (V.P. & Chief Business Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +7,567 7,567 owned after | $14.08 exercise price | 2014-04-21 | |
| 2014-04-17 | Knop David R. Officer (Director, Process Development) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,376 6,376 owned after | $14.08 exercise price | 2014-04-21 | |
| 2014-04-17 | Chulay Jeffrey D. Officer (V.P. & Chief Medical Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +19,230 19,230 owned after | $14.08 exercise price | 2014-04-21 | |
| 2014-04-17 | BULLOCK LAWRENCE E Officer (Chief Financial Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,502 2,502 owned after | $14.08 exercise price | 2014-04-21 | |
| 2014-03-26 holding as of filing | GLAXOSMITHKLINE PLC 10% Owner | 3 | Stock Option (Right to Buy) Derivative · Indirect · See Footnote | Holding | $12.00 exercise price | 2014-03-26 | ||
| 2014-03-26 holding as of filing | Wu Samuel Director, 10% Owner | 3 | Stock Option (Right to Buy) Derivative · Direct · (m) | Holding | $12.00 exercise price | 2014-03-26 | ||
| 2014-03-26 holding as of filing | Washer Susan B. Director, Officer (President & CEO) | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $3.50 exercise price | 2014-03-26 | ||
| 2014-03-26 holding as of filing | Washer Susan B. Director, Officer (President & CEO) | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $3.50 exercise price | 2014-03-26 | ||
| 2014-03-26 holding as of filing | Washer Susan B. Director, Officer (President & CEO) | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $3.50 exercise price | 2014-03-26 | ||
| 2014-03-26 holding as of filing | Washer Susan B. Director, Officer (President & CEO) | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $0.35 exercise price | 2014-03-26 | ||
| 2014-03-26 holding as of filing | Washer Susan B. Director, Officer (President & CEO) | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $4.90 exercise price | 2014-03-26 | ||
| 2014-03-26 holding as of filing | Rosen James Director, 10% Owner | 3 | Stock Option (Right to Buy) Derivative · Direct · (m) | Holding | $12.00 exercise price | 2014-03-26 | ||
| 2014-03-26 holding as of filing | ORONSKY ARNOLD L Director, 10% Owner | 3 | Stock Option (Right to Buy) Derivative · Direct · (m) | Holding | $12.00 exercise price | 2014-03-26 | ||
| 2014-03-26 holding as of filing | Menichella Daniel L Officer (V.P. & Chief Business Officer) | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $4.90 exercise price | 2014-03-26 | ||
| 2014-03-26 holding as of filing | Koenig Scott Director | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $3.50 exercise price | 2014-03-26 | ||
| 2014-03-26 holding as of filing | Koenig Scott Director | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $3.50 exercise price | 2014-03-26 | ||
| 2014-03-26 holding as of filing | Koenig Scott Director | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $0.35 exercise price | 2014-03-26 | ||
| 2014-03-26 holding as of filing | Koenig Scott Director | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $4.90 exercise price | 2014-03-26 | ||
| 2014-03-26 holding as of filing | Koenig Scott Director | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $12.00 exercise price | 2014-03-26 | ||
| 2014-03-26 holding as of filing | Knop David R. Officer (Director, Process Development) | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $3.50 exercise price | 2014-03-26 | ||
| 2014-03-26 holding as of filing | Knop David R. Officer (Director, Process Development) | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $3.50 exercise price | 2014-03-26 | ||
| 2014-03-26 holding as of filing | Knop David R. Officer (Director, Process Development) | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $3.50 exercise price | 2014-03-26 | ||
| 2014-03-26 holding as of filing | Knop David R. Officer (Director, Process Development) | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $3.50 exercise price | 2014-03-26 | ||
| 2014-03-26 holding as of filing | Knop David R. Officer (Director, Process Development) | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $0.35 exercise price | 2014-03-26 | ||
| 2014-03-26 holding as of filing | Knop David R. Officer (Director, Process Development) | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $4.90 exercise price | 2014-03-26 | ||
| 2014-03-26 holding as of filing | HURWITZ EDWARD Director | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $12.00 exercise price | 2014-03-26 | ||
| 2014-03-26 holding as of filing | Chulay Jeffrey D. Officer (V.P. & Chief Medical Officer) | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $3.50 exercise price | 2014-03-26 | ||
| 2014-03-26 holding as of filing | Chulay Jeffrey D. Officer (V.P. & Chief Medical Officer) | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $3.50 exercise price | 2014-03-26 | ||
| 2014-03-26 holding as of filing | Chulay Jeffrey D. Officer (V.P. & Chief Medical Officer) | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $3.50 exercise price | 2014-03-26 | ||
| 2014-03-26 holding as of filing | Chulay Jeffrey D. Officer (V.P. & Chief Medical Officer) | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $0.35 exercise price | 2014-03-26 | ||
| 2014-03-26 holding as of filing | Chulay Jeffrey D. Officer (V.P. & Chief Medical Officer) | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $4.90 exercise price | 2014-03-26 | ||
| 2014-03-26 holding as of filing | Carroll Jill Director, 10% Owner | 3 | Stock Option (Right to Buy) Derivative · Direct · (m) | Holding | $12.00 exercise price | 2014-03-26 | ||
| 2014-03-26 holding as of filing | BULLOCK LAWRENCE E Officer (Chief Financial Officer) | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $12.00 exercise price | 2014-03-26 |