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: 12 rows in 2016. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2016-12-01: Reporting owner Goldstein Michael H.; Form 4; Security Stock Option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2016-10-19: Reporting owner Chulay Jeffrey D.; Form 4/A; Security Employee Stock Option (right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2016-10-19: Reporting owner Chulay Jeffrey D.; Form 4; Security Employee Stock Option (right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2016-08-29: Reporting owner Washer Susan B.; Form 4; Security Employee Stock Option (right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2016-12-01 | Goldstein Michael H. Officer (Chief Medical Officer) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +180,000 180,000 owned after | $8.70 exercise price | 2016-12-02 | |
| 2016-10-19 | Chulay Jeffrey D. Officer (VP and Chief Medical Officer) | 4/A | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,000 20,511 owned after | $0.35 exercise price | 2016-10-27 | |
| 2016-10-19 | Chulay Jeffrey D. Officer (VP and Chief Medical Officer) | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,000 29,511 owned after | $0.35 exercise price | 2016-10-21 | |
| 2016-08-29 | Washer Susan B. Director, Officer (See Remarks) | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,328 0 owned after | $3.50 exercise price | 2016-08-30 | |
| 2016-08-17 | VANLENT ANNE Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +16,000 16,000 owned after | $15.13 exercise price | 2016-08-18 | |
| 2016-07-07 | Chulay Jeffrey D. Officer (See Remarks) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +35,000 35,000 owned after | $15.57 exercise price | 2016-07-11 | |
| 2016-07-07 | Shearman Mark S Officer (Chief Scientific Officer) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 50,000 owned after | $15.57 exercise price | 2016-07-11 | |
| 2016-07-07 | Potter Stephen W Officer (See Remarks) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 50,000 owned after | $15.57 exercise price | 2016-07-11 | |
| 2016-07-07 | 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) | +35,000 35,000 owned after | $15.57 exercise price | 2016-07-11 | |
| 2016-07-07 | Washer Susan B. Director, Officer (See Remarks) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +80,000 80,000 owned after | $15.57 exercise price | 2016-07-11 | |
| 2016-05-25 | Chulay Jeffrey D. Officer (VP and Chief Medical Officer) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,000 2,028 owned after | $3.50 exercise price | 2016-05-26 | |
| 2016-05-11 | Chulay Jeffrey D. Officer (VP and Chief Medical Officer) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −4,000 4,028 owned after | $3.50 exercise price | 2016-05-26 |