APPLIED GENETIC TECHNOLOGIES CORP Forms 3, 4 and 5: Warrants
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 18 rows, 18 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2017-04-24: Reporting owner ORONSKY ARNOLD L; Form 4; Security Warrant to buy Common; Transaction X Exercise of in-the-money or at-the-money derivative security.
- 2017-04-24: Reporting owner ORONSKY ARNOLD L; Form 4; Security Warrant to buy Common; Transaction X Exercise of in-the-money or at-the-money derivative security.
- 2017-04-24: Reporting owner ORONSKY ARNOLD L; Form 4; Security Warrant to buy Common; Transaction X Exercise of in-the-money or at-the-money derivative security.
- 2014-04-01: Reporting owner Wu Samuel; Form 4; Security Series B-1 Warrant; Transaction C Conversion of derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2017-04-24 | ORONSKY ARNOLD L Director | 4 | Warrant to buy Common Derivative · Indirect · By Partnership | X Exercise of in-the-money or at-the-money derivative security | −11,476 0 owned after | $4.54 exercise price | 2017-04-26 | |
| 2017-04-24 | ORONSKY ARNOLD L Director | 4 | Warrant to buy Common Derivative · Indirect · By Partnership | X Exercise of in-the-money or at-the-money derivative security | −328 0 owned after | $4.54 exercise price | 2017-04-26 | |
| 2017-04-24 | ORONSKY ARNOLD L Director | 4 | Warrant to buy Common Derivative · Indirect · By Partnership | X Exercise of in-the-money or at-the-money derivative security | −91 0 owned after | $4.54 exercise price | 2017-04-26 | |
| 2014-04-01 | Wu Samuel Director, 10% Owner | 4 | Series B-1 Warrant Derivative · Indirect · See footnotes | C Conversion of derivative security | −416,361 0 owned after | $0.13 exercise price | 2014-04-01 | |
| 2014-04-01 | Wu Samuel Director, 10% Owner | 4 | Common Stock Warrant Derivative · Indirect · See footnotes | C Conversion of derivative security | +11,896 11,896 owned after | $4.54 exercise price | 2014-04-01 | |
| 2014-04-01 | Rosen James Director, 10% Owner | 4 | Series B-1 Warrant (Right to Buy) Derivative · Indirect · See footnotes | C Conversion of derivative security | −312,228 0 owned after | $0.13 exercise price | 2014-04-01 | |
| 2014-04-01 | Rosen James Director, 10% Owner | 4 | Common Stock Warrant (Right to Buy) Derivative · Indirect · See footnotes | C Conversion of derivative security | +8,920 8,920 owned after | $4.54 exercise price | 2014-04-01 | |
| 2014-04-01 | ORONSKY ARNOLD L Director, 10% Owner | 4 | Series B-1 Warrant Derivative · Indirect · See footnotes | C Conversion of derivative security | −416,361 0 owned after | $0.13 exercise price | 2014-04-01 | |
| 2014-04-01 | ORONSKY ARNOLD L Director, 10% Owner | 4 | Common Stock Warrant Derivative · Indirect · See footnotes | C Conversion of derivative security | +11,895 11,895 owned after | $4.54 exercise price | 2014-04-01 | |
| 2014-04-01 | MedImmune Ventures, Inc. 10% Owner | 4 | Series B-1 Warrant (Right to Buy) Derivative · Direct | C Conversion of derivative security | −416,361 0 owned after | $0.13 exercise price | 2014-04-01 | |
| 2014-04-01 | MedImmune Ventures, Inc. 10% Owner | 4 | Common Stock Warrant (Right to Buy) Derivative · Direct | C Conversion of derivative security | +11,896 11,896 owned after | $4.54 exercise price | 2014-04-01 | |
| 2014-04-01 | CASH HARVEY B | GIANOS PHILIP T | INTERWEST PARTNERS VIII LP | Kliman Gilbert H | INTERWEST INVESTORS VIII L P | InterWest Management Partners VIII, LLC | INTERWEST INVESTORS Q VIII LP | Holmes W Stephen 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series B-1 Warrant Derivative · Indirect · See Footnote | C Conversion of derivative security | −416,361 0 owned after | $0.13 exercise price | 2014-04-01 | |
| 2014-04-01 | CASH HARVEY B | GIANOS PHILIP T | INTERWEST PARTNERS VIII LP | Kliman Gilbert H | INTERWEST INVESTORS VIII L P | InterWest Management Partners VIII, LLC | INTERWEST INVESTORS Q VIII LP | Holmes W Stephen 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Common Stock Warrant Derivative · Indirect · See Footnote | C Conversion of derivative security | +11,895 11,895 owned after | $4.54 exercise price | 2014-04-01 | |
| 2014-03-26 holding as of filing | MedImmune Ventures, Inc. 10% Owner | 3 | Series B-1 Warrant (Right to Buy) Derivative · Direct | Holding | $0.13 exercise price | 2014-03-26 | ||
| 2014-03-26 holding as of filing | Wu Samuel Director, 10% Owner | 3 | Series B-1 Warrant (Right to Buy) Derivative · Indirect · (m) | Holding | $0.13 exercise price | 2014-03-26 | ||
| 2014-03-26 holding as of filing | Rosen James Director, 10% Owner | 3 | Series B-1 Warrant (Right to Buy) Derivative · Indirect · (m) | Holding | $0.13 exercise price | 2014-03-26 | ||
| 2014-03-26 holding as of filing | ORONSKY ARNOLD L Director, 10% Owner | 3 | Series B-1 Warrant (Right to Buy) Derivative · Indirect · (m) | Holding | $0.13 exercise price | 2014-03-26 | ||
| 2014-03-26 holding as of filing | INTERWEST INVESTORS Q VIII LP | Kliman Gilbert H | INTERWEST PARTNERS VIII LP | Holmes W Stephen | INTERWEST INVESTORS VIII L P | CASH HARVEY B | InterWest Management Partners VIII, LLC | GIANOS PHILIP T 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series B-1 Warrant (Right to Buy) Derivative · Indirect · See footnote | Holding | $0.13 exercise price | 2014-03-26 |