SEC Form 4 · accession 0000899243-17-010898

APPLIED GENETIC TECHNOLOGIES CORP · AGTC

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Arnold L Oronsky

Director

Period of report

Apr 24, 2017

Accepted (ET)

Apr 26, 2017 · 1:07 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^F1,F4	Apr 24, 2017	X	3,559	—	A	1,404,515	I	By Partnership
Common^F2,F5	Apr 24, 2017	X	101	—	A	40,181	I	By Partnership
Common^F3,F6	Apr 24, 2017	X	28	—	A	11,208	I	By Partnership

Table II — derivative securities

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	D/I
Warrant to buy Common^F4	$4.5395	Apr 24, 2017	X	11,476	D	May 2, 2012	May 2, 2017	Common	11,476	I
Warrant to buy Common^F5	$4.5395	Apr 24, 2017	X	328	D	May 2, 2012	May 2, 2017	Common	328	I
Warrant to buy Common^F6	$4.5395	Apr 24, 2017	X	91	D	May 2, 2012	May 2, 2017	Common	91	I

Explanation of responses

F1Represents cashless exercise of a warrant by InterWest Partners VIII, LP ("IW8"). 7,917 shares of common stock were withheld by the issuer at the market price of $6.58 per share to fund the cashless exercise of 11,476 warrants.
F2Represents cashless exercise of a warrant by InterWest Investors Q VIII, LP ("IIQ8"). 227 shares of common stock were withheld by the issuer at the market price of $6.58 per share to fund the cashless exercise of 328 warrants.
F3Represents cashless exercise of a warrant by InterWest Investors VIII, LP ("II8"). 63 shares of common stock were withheld by the issuer at the market price of $6.58 per share to fund the cashless exercise of 91 warrants.
F4Shares are owned by IW8. The General Partner of IW8 is InterWest Management Partners VIII, LLC ("IMP8"). The Reporting Person is a Managing Director of IMP8, shares voting and investment power with the other Managing Directors of IMP8, and disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.
F5Shares are owned by IIQ8. The General Partner of IW8 is IMP8. The Reporting Person is a Managing Director of IMP8, shares voting and investment power with the other Managing Directors of IMP8, and disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.
F6Shares are owned by II8. The General Partner of IW8 is IMP8. The Reporting Person is a Managing Director of IMP8, shares voting and investment power with the other Managing Directors of IMP8, and disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.