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: 14 rows in 2017. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2017-09-15: Reporting owner Feinsod Matthew; Form 3; Security Stock Option (right to buy); Transaction Holding.
- 2017-08-07: Reporting owner Sullivan William A.; Form 4; Security Stock Option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2017-08-03: Reporting owner BULLOCK LAWRENCE E; Form 4; Security Stock Option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2017-08-01: Reporting owner Ashe Andrew D.; 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 |
|---|---|---|---|---|---|---|---|---|
| 2017-09-15 holding as of filing | Feinsod Matthew Officer (Interim Chief Medical Officer) | 3 | Stock Option (right to buy) Derivative · Direct | Holding | $16.00 exercise price | 2017-09-15 | ||
| 2017-08-07 | Sullivan William A. Officer (Chief Financial Officer) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +135,000 135,000 owned after | $5.00 exercise price | 2017-08-09 | |
| 2017-08-03 | 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) | +4,168 4,168 owned after | $4.50 exercise price | 2017-08-09 | |
| 2017-08-01 | Ashe Andrew D. Officer (General Counsel) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 100,000 owned after | $4.60 exercise price | 2017-08-03 | |
| 2017-07-17 | 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 | $4.90 exercise price | 2017-07-18 | |
| 2017-07-17 | 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) | +25,000 25,000 owned after | $4.90 exercise price | 2017-07-18 | |
| 2017-07-17 | 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) | +100,000 100,000 owned after | $4.90 exercise price | 2017-07-18 | |
| 2017-07-17 | 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 | $4.90 exercise price | 2017-07-18 | |
| 2017-02-28 | ORONSKY ARNOLD L Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8,000 8,000 owned after | $7.75 exercise price | 2017-03-02 | |
| 2017-02-28 | HURWITZ EDWARD Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8,000 8,000 owned after | $7.75 exercise price | 2017-03-02 | |
| 2017-02-28 | Rosen James Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8,000 8,000 owned after | $7.75 exercise price | 2017-03-02 | |
| 2017-02-28 | VANLENT ANNE Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8,000 8,000 owned after | $7.75 exercise price | 2017-03-02 | |
| 2017-02-28 | Magovcevic Ivana Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8,000 8,000 owned after | $7.75 exercise price | 2017-03-02 | |
| 2017-02-28 | Koenig Scott Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8,000 8,000 owned after | $7.75 exercise price | 2017-03-02 |