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: 16 rows in 2019. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2019-12-04: Reporting owner VANLENT ANNE; Form 4; Security Stock Option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2019-12-04: 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).
- 2019-12-04: 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).
- 2019-12-04: Reporting owner HURWITZ EDWARD; 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 |
|---|---|---|---|---|---|---|---|---|
| 2019-12-04 | VANLENT ANNE Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,000 10,000 owned after | $3.02 exercise price | 2019-12-06 | |
| 2019-12-04 | Rosen James Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,000 10,000 owned after | $3.02 exercise price | 2019-12-06 | |
| 2019-12-04 | Magovcevic Ivana Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,000 10,000 owned after | $3.02 exercise price | 2019-12-06 | |
| 2019-12-04 | HURWITZ EDWARD Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,000 10,000 owned after | $3.02 exercise price | 2019-12-06 | |
| 2019-12-04 | Aliski William Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,000 10,000 owned after | $3.02 exercise price | 2019-12-06 | |
| 2019-12-04 | Koenig Scott Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,000 10,000 owned after | $3.02 exercise price | 2019-12-06 | |
| 2019-09-18 | 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 | −5,700 13,841 owned after | $3.50 exercise price | 2019-09-20 | |
| 2019-08-15 | Krex Brian Officer (General Counsel) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +13,000 13,000 owned after | $3.00 exercise price | 2019-08-19 | |
| 2019-08-15 | 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) | +52,000 52,000 owned after | $3.00 exercise price | 2019-08-19 | |
| 2019-08-15 | Potter Stephen W Officer (VP and Chief Business Officer) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +52,000 52,000 owned after | $3.00 exercise price | 2019-08-19 | |
| 2019-08-15 | 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) | +52,000 52,000 owned after | $3.00 exercise price | 2019-08-19 | |
| 2019-08-15 | 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 | $3.00 exercise price | 2019-08-19 | |
| 2019-07-29 | Heah Theresa Officer (Chief Medical Officer) | 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 | $3.91 exercise price | 2019-07-31 | |
| 2019-07-29 | Feinsod Matthew Officer (Exec. VP, Global Strat. & Dev.) | 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 | $3.91 exercise price | 2019-07-31 | |
| 2019-05-28 | Koenig Scott Director | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −32,018 0 owned after | $0.35 exercise price | 2019-05-30 | |
| 2019-03-25 | Krex Brian Officer (General Counsel) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +125,000 125,000 owned after | $4.20 exercise price | 2019-04-18 |