| FORM 4 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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| Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). | ||||||||||||||||
1. Name and Address of Reporting Person*
(Street)
| 2. Issuer Name and Ticker or Trading Symbol APPLIED GENETIC TECHNOLOGIES CORP [ AGTC ] | 5. Relationship of Reporting Person(s) to Issuer (Check all applicable)
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| 3. Date of Earliest Transaction (Month/Day/Year) 12/26/2019 | ||||||||||||||||||||||||||
| 4. If Amendment, Date of Original Filed (Month/Day/Year) | 6. Individual or Joint/Group Filing (Check Applicable Line)
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| Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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| 1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
| Code | V | Amount | (A) or (D) | Price | ||||||
| Common Stock | 12/26/2019 | S(1) | 81,162(1) | D | $5.24 | 1,780,762 | I | See footnote(2) | ||
| Common Stock | 24,999 | I | See footnote(3) | |||||||
| Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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| 1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date (Month/Day/Year) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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| Explanation of Responses: |
| 1. Stichting Aescap 2.0's ("Aescap 2.0") sale of AGTC common stock reported herein was matchable under Section 16(b) of the Securities Exchange Act of 1934, to the extent of 2,544 shares, with Aescap 2.0's purchase of 2,544 shares of AGTC common stock at a price of $2.79 per share on November 19, 2019. Aescap 2.0 has agreed to pay to AGTC, upon settlement of the sale, $6,217.00, representing the full amount of the profit realized in connection with the short-swing transaction, less transaction costs. |
| 2. Shares of Common Stock held directly by Aescap 2.0. Privium Fund Management B.V. ("Privium") is the fund manager of Aescap 2.0 and may be deemed to beneficially own the shares held by Aescap 2.0. Patrick Johan Hendrik Krol ("Krol") is the portfolio manager of Privium and may be deemed to beneficially own the shares held by Aescap 2.0. Each of Privium and Krol disclaims beneficial ownership of all the shares held by Aescap 2.0 except to the extent of each of their pecuniary interest therein. |
| 3. Shares of Common Stock held directly by Inspirational Visions BV ("Inspirational Visions"). Krol is the managing director of Inspirational Visions and may be deemed to beneficially own the shares held by Inspirational Visions. |
| /s/ Patrick Johan Hendrik Krol | 12/30/2019 | |
| STICHTING AESCAP 2.0 By: PRIVIUM FUND MANAGEMENT B.V., ITS FUND MANAGER By: /s/ / Patrick Johan Hendrik Krol Portfolio Manager | 12/30/2019 | |
| PRIVIUM FUND MANAGEMENT B.V. By: /s/ / Patrick Johan Hendrik Krol Portfolio Manager | 12/30/2019 | |
| Inspirational Visions BV By: /s/ / Patrick Johan Hendrik Krol Managing Director | 12/30/2019 | |
| ** Signature of Reporting Person | Date | |
| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
| * If the form is filed by more than one reporting person, see Instruction 4 (b)(v). | ||
| ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
| Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
| Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. | ||
