SEC Form 4/A · accession 0000899243-16-032399
APPLIED GENETIC TECHNOLOGIES CORP · AGTC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Jeffrey D. Chulay
Officer — VP and Chief Medical Officer
Period of report
Oct 19, 2016
Accepted (ET)
Oct 27, 2016 · 8:24 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 StockF1 | Oct 19, 2016 | M | 10,000 | $0.35 | A | 21,400 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (right to buy)F1,F2 | $0.35 | Oct 19, 2016 | M | 10,000 | D | — | Jan 6, 2023 | Common Stock | 10,000 | 20,511 | D |
Explanation of responses
- F1This Form 4 is being amended to correct the number of securities acquired, the number of derivative securities disposed of, and the number of securities and derivative securities beneficially owned following the reported transaction.
- F2The option, representing a right to purchase a total of 35,511 shares, vests in equal monthly installments over four years beginning on 2/6/2013, which was the one-month anniversary of the date of grant, resulting in the option becoming exercisable for 100% of the underlying shares on the fourth anniversary of the date of grant.