SEC Form 5 · accession 0000899243-15-003144
APPLIED GENETIC TECHNOLOGIES CORP · AGTC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jeffrey D. Chulay
Officer — VP and Chief Medical Officer
Period of report
Jun 30, 2015
Accepted (ET)
Aug 14, 2015 · 4:05 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001273636
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Nov 13, 2014 | M | 2,277 | $3.50 | A | 7,277 | D | |
| Common Stock | Jan 29, 2015 | M | 2,500 | $0.35 | A | 7,277 | D | |
| Common Stock | Mar 9, 2015 | M | 2,500 | $0.35 | A | 7,277 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy)F1 | $3.50 | Nov 13, 2014 | M | 2,277 | D | — | May 31, 2017 | Common Stock | 10,305 | 8,028 | D |
| Stock Option (Right to Buy)F2 | $0.35 | Jan 29, 2015 | M | 2,500 | D | — | Jan 6, 2023 | Common Stock | 35,511 | 30,511 | D |
| Stock Option (Right to Buy)F2 | $0.35 | Mar 9, 2015 | M | 2,500 | D | — | Jan 6, 2023 | Common Stock | 33,011 | 30,511 | D |
Explanation of responses
- F1The option, representing a right to purchase a total of 10,305 shares, is fully-vested and exercisable for 100% of the underlying shares.
- F2The option, representing a right to purchase a total of 35,511 shares, vests in equal monthly installments over four years, resulting in the option becoming exercisable for 100% of the underlying shares on the fourth anniversary of the date of grant.