0000903423-15-000109.txt : 20150213 0000903423-15-000109.hdr.sgml : 20150213 20150212183425 ACCESSION NUMBER: 0000903423-15-000109 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20150213 DATE AS OF CHANGE: 20150212 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: APPLIED GENETIC TECHNOLOGIES CORP CENTRAL INDEX KEY: 0001273636 STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836] IRS NUMBER: 593553710 STATE OF INCORPORATION: DE FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-88071 FILM NUMBER: 15608229 BUSINESS ADDRESS: STREET 1: 11801 RESEARCH DRIVE STREET 2: SUITE D CITY: ALACHUA STATE: FL ZIP: 32615 BUSINESS PHONE: 386-462-2204 MAIL ADDRESS: STREET 1: 11801 RESEARCH DRIVE STREET 2: SUITE D CITY: ALACHUA STATE: FL ZIP: 32615 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: GLAXOSMITHKLINE PLC CENTRAL INDEX KEY: 0001131399 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 000000000 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 980 GREAT WEST ROAD CITY: BRENTFORD MIDDLESEX STATE: X0 ZIP: TW8 9GS BUSINESS PHONE: 011442080475000 MAIL ADDRESS: STREET 1: 980 GREAT WEST ROAD CITY: BRENTFORD MIDDLESEX STATE: X0 ZIP: TW8 9GS SC 13D/A 1 glaxoapplie13da1_0209.htm

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

SCHEDULE 13D

 

Under the Securities Exchange Act of 1934

(Amendment No. 1)*

 

 

APPLIED GENETIC TECHNOLOGIES CORPORATION

(Name of Issuer)

 

 

Common Stock, Par Value $0.001

(Title of Class of Securities)

 

 

03820J 10 0

(CUSIP Number)

 

 

Victoria A. Whyte

GlaxoSmithKline plc

980 Great West Road

Brentford, Middlesex TW8 9GS

England

Telephone: +44 (0)208 047 5000

Name, Address and Telephone Number of Person Authorized to

Receive Notices and Communications)

 

 

December 10, 2014

(Date of Event which Requires Filing of this Statement)

 

If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of §§240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box. o

 

Note: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See Rule.13d-7 for other parties to whom copies are to be sent.

 

* The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page.

 

The information required on the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).

 
 

 

CUSIP No. 03820J 10 0                                         SCHEDULE 13D/A                                                                      Page 2 of 7  
   

1. Names of Reporting Persons.

 

GlaxoSmithKline plc

 
2.  Check the Appropriate Box if a Member of a Group  
(a) o
(b) o
 
 
3.  SEC Use Only  

4. Source of Funds

WC

 

5. Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)

o

 

6. Citizenship or Place of Organization

England and Wales

 
   Number of Shares
   Beneficially
   Owned by
   Each Reporting
   Person With:

7. Sole Voting Power

1,939,598

 

8. Shared Voting Power

-0-

 

9. Sole Dispositive Power

1,939,598

 

10. Shared Dispositive Power

-0-

 

11. Aggregate Amount Beneficially Owned by Each Reporting Person

1,939,598 (1)

 

12. Check if the Aggregate Amount in Row (11) Excludes Certain Shares

o

 

13. Percent of Class Represented by Amount in Row (11)

11.8% (2)

 

14. Type of Reporting Person

CO

 

Footnotes:

 

(1) Shares of Common Stock are held of record by S.R. One, Limited (S.R. One), an indirect, wholly-owned subsidiary of the Reporting Person.

 

(2) Based on 16,410,811 shares of Common Stock outstanding as of October 31, 2014.

 
 
           
CUSIP No. 03820J 10 0   SCHEDULE 13D/A   Page 3 of 7 

 

ITEM 1. SECURITY AND ISSUER

 

This Amendment No. 1 to Schedule 13D (this “Statement”) amends and supplements the statement on Schedule 13D originally filed on April 7, 2014 (the “Original Schedule 13D” with respect to the shares of common stock, par value $0.001 per share (the “Shares”) of Applied Genetic Technologies Corporation, a Delaware corporation (the “Issuer”). This Amendment No. 1 is filed to disclose a change in beneficial ownership of the Reporting Person relating to the disposition of shares of Common Stock. Each capitalized term used and not defined herein shall have the meaning assigned to such term in the Schedule 13D. Unless otherwise indicated, each capitalized term used but not defined herein shall have the meaning assigned to such term in the Original Schedule 13D.

 

ITEM 2. IDENTITY AND BACKGROUND

 

The response set forth in Item 2 of the Original Schedule 13D is hereby amended by deleting Schedule 1 in its entirety, and replacing it with Schedule 1 attached hereto.

 

ITEM 5. INTEREST IN SECURITIES OF THE ISSUER

 

The response set forth in the first paragraph of Item 5 of the Original Schedule 13D is hereby amended by deleting the previous response in its entirety and replacing it with the following:

 

From December 10, 2014 to December 18, 2014 S.R. One disposed of 50, 000 Shares as follows:

 

Shares Sale price/Shares

December 10, 2014 10,000 21.176

December 11, 2014 12,500 21.2828

December 12, 2014 7,500 21.2392

December 17, 2014 8,000 21

December 18, 2014 12,000 21.0113

 

 

As a result, GlaxoSmithKline plc beneficially owns 1,939,598 shares of Common Stock which represents 11.8% of the 16,410,811 shares of Common Stock outstanding as of October 31, 2014.

 

__________________________________________________________________________________________________

 
 

 

           
CUSIP No. 03820J 10 0   SCHEDULE 13D/A   Page 4 of 7 

 

SIGNATURE

 

After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.

 

Dated: February 12, 2015

 

GLAXOSMITHKLINE PLC

 

 

/s/ Victoria A. Whyte

By: Victoria A. Whyte

Title: Company Secretary

 

 

 

 

 

 

 

 

 

 

 

 
 
           
CUSIP No. 03820J 10 0   SCHEDULE 13D/A   Page 5 of 7 

 

Schedule I

 

Name

Business Address

Principal Occupation or Employment

Citizenship

Board of Directors      
Sir Andrew Witty 980 Great West Road
Brentford
Middlesex, England
TW8 9GS
Executive Director and Chief Executive Officer British
Simon Dingemans 980 Great West Road
Brentford
Middlesex, England
TW8 9GS
Executive Director and Chief Financial Officer British
Dr. Moncef Slaoui

709 Swedeland Road

King of Prussia

Pennsylvania

19406

Executive Director and
Chairman Global Vaccines
Moroccan, Belgian & US
Sir Christopher Gent 980 Great West Road
Brentford
Middlesex, England
TW8 9GS
Chairman and Company Director British
Sir Philip Hampton 980 Great West Road
Brentford
Middlesex, England
TW8 9GS
Company Director British
Professor Sir Roy Anderson 980 Great West Road
Brentford
Middlesex, England
TW8 9GS
Company Director British
Dr. Stephanie Burns 980 Great West Road
Brentford
Middlesex, England
TW8 9GS
Company Director US
Stacey Cartwright 980 Great West Road
Brentford
Middlesex, England
TW8 9GS
Company Director British
       
Judy Lewent 980 Great West Road
Brentford
Middlesex, England
TW8 9GS
Company Director

US

 

Sir Deryck Maughan 980 Great West Road
Brentford
Middlesex, England
TW8 9GS
Company Director British


 
 
           
CUSIP No. 03820J 10 0   SCHEDULE 13D/A   Page 6 of 7 

 

 

Dr. Daniel Podolsky 980 Great West Road
Brentford
Middlesex, England
TW8 9GS
Company Director US
Tom de Swaan 980 Great West Road
Brentford
Middlesex, England
TW8 9GS
Company Director Dutch
Lynn Elsenhans 980 Great West Road
Brentford
Middlesex, England
TW8 9GS
Company Director US
Jing Ulrich 980 Great West Road
Brentford
Middlesex, England
TW8 9GS
Company Director US

Hans Wijers

 

980 Great West Road
Brentford
Middlesex, England
TW8 9GS

 

Company Director Dutch
Urs Rohner

980 Great West Road
Brentford
Middlesex, England
TW8 9GS

 

Company Director Swiss

 

Corporate Executive Team      
Sir Andrew Witty 980 Great West Road
Brentford
Middlesex, England
TW8 9GS
Executive Director and Chief Executive Officer British
Simon Dingemans 980 Great West Road
Brentford
Middlesex, England
TW8 9GS
Executive Director and Chief Financial Officer British
Dr. Moncef Slaoui

709 Swedeland Road

King of Prussia

Pennsylvania

19406

Executive Director
Chairman Global Vaccines
Moroccan, Belgian & US
 
 
           
CUSIP No. 03820J 10 0   SCHEDULE 13D/A   Page 7 of 7 

 

Deirdre Connelly

5 Crescent Drive,
Philadelphia, PA
19112

 

President, North America
Pharmaceuticals
US

Nick Hirons

 

 

 

Abbas Hussain

 

980 Great West Road

Brentford

Middlesex

TW8 9GS

 

150 Beach Road
22-00 Gateway West
189720
Singapore

Senior Vice President, Global Ethics and Compliance

 

 

President,Global Pharmaceuticals

 

British

 

 

 

 

British

 

William Louv Five Moore Drive
PO Box 13398
Research Triangle Park
North Carolina 27709
Senior Vice President, Core Business Services US
David Redfern 980 Great West Road
Brentford
Middlesex, England
TW8 9GS
Chief Strategy Officer British
Claire Thomas 980 Great West Road
Brentford
Middlesex, England
TW8 9GS
Senior Vice President,
Human Resources
British
Philip Thomson 980 Great West Road
Brentford
Middlesex, England
TW8 9GS
Senior Vice President,  Communications and Government Affairs British
Daniel Troy 5 Crescent Drive
Philadelphia, PA
19112
Senior Vice President & General Counsel US
Dr. Patrick Vallance 980 Great West Road
Brentford
Middlesex, England
TW8 9GS
President, Pharmaceuticals R&D British
Emma Walmsley 980 Great West Road
Brentford
Middlesex, England
TW8 9GS
President, Consumer Healthcare British
Roger Connor 980 Great West Road
Brentford
Middlesex, England
TW8 9GS

President, Global Manufacturing & Supply

 

 

Irish