0001193125-21-039673.txt : 20210212 0001193125-21-039673.hdr.sgml : 20210212 20210212060658 ACCESSION NUMBER: 0001193125-21-039673 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20210212 DATE AS OF CHANGE: 20210212 GROUP MEMBERS: GILBERT H. KLIMAN GROUP MEMBERS: INTERWEST MANAGEMENT PARTNERS VIII, LLC 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 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-88071 FILM NUMBER: 21622521 BUSINESS ADDRESS: STREET 1: 14193 NW 119TH TERRACE STREET 2: SUITE #10 CITY: ALACHUA STATE: FL ZIP: 32615 BUSINESS PHONE: 386-462-2204 MAIL ADDRESS: STREET 1: 14193 NW 119TH TERRACE STREET 2: SUITE #10 CITY: ALACHUA STATE: FL ZIP: 32615 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: INTERWEST PARTNERS VIII LP CENTRAL INDEX KEY: 0001123907 IRS NUMBER: 943369436 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 467 FIRST STREET STREET 2: SUITE 201 CITY: LOS ALTOS STATE: CA ZIP: 94022 BUSINESS PHONE: 650-854-8585 MAIL ADDRESS: STREET 1: 467 FIRST STREET STREET 2: SUITE 201 CITY: LOS ALTOS STATE: CA ZIP: 94022 SC 13G/A 1 d126670dsc13ga.htm SC 13G/A SC 13G/A
OMB APPROVAL
OMB Number:                                3235-0145
Expires:                                    February 28, 2010
Estimated average burden
hours per response                                10.4

 

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

WASHINGTON, D.C. 20549

 

 

SCHEDULE 13G

Under the Securities Exchange Act of 1934

(AMENDMENT NO    6        )*

 

 

Applied Genetic Technologies Corp

(Name of Issuer)

Common Stock

(Title of Class of Securities)

03820J 10 0

(CUSIP Number)

December 31, 2020

(Date of Event which Requires Filing of this Statement)

 

 

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

☐ Rule 13d-1(b)

☐ Rule 13d-1(c)

☒ Rule 13d-1(d)

 

*

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 the disclosures provided in a prior cover page.

The information required in 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).

 

 

 

Page 1 of 8 Pages


Cusip No. 03820J 10 0    13G    Page 2 of 8 Pages

 

 

  1       

  NAME OF REPORTING PERSONS

 

  InterWest Partners VIII, LP

 

  I.R.S. IDENTIFICATION NO(S). OF ABOVE PERSON(S) (ENTITIES ONLY)

  2      

  CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

  (a)  ☐        (b)  ☐

 

  3      

  SEC USE ONLY

 

  4      

  CITIZENSHIP OR PLACE OF ORGANIZATION

 

  California

NUMBER OF

SHARES

  BENEFICIALLY  

OWNED BY

REPORTING

PERSON

WITH

    5     

  SOLE VOTING POWER

 

  1,404,515

  6     

  SHARED VOTING POWER

 

  0

  7     

  SOLE DISPOSITIVE POWER

 

  1,404,515

  8     

  SHARED DISPOSITIVE POWER

 

  0

  9      

  AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

  1,404,515

10      

  CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES:

 

  ☐

11      

  PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

 

  5.4% (1)

12      

  TYPE OF REPORTING PERSON

 

  PN

(1) Based upon 25,889,625 shares of the Issuer’s Common Stock outstanding as of November 11, 2020, as reported in the Issuer’s Form 10-Q filed with the Securities and Exchange Commission (the “SEC”) on November 16, 2020.

 

Page 2 of 8 Pages


Cusip No. 03820J 10 0    13G    Page 3 of 8 Pages

 

  1       

  NAME OF REPORTING PERSONS

 

  InterWest Management Partners VIII, LLC (the General Partner of InterWest Partners VIII, LP)

 

  I.R.S. IDENTIFICATION NO(S). OF ABOVE PERSON(S) (ENTITIES ONLY)

  2      

  CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

  (a)  ☐        (b)  ☐

 

  3      

  SEC USE ONLY

 

  4      

  CITIZENSHIP OR PLACE OF ORGANIZATION

 

  California

NUMBER OF

SHARES

  BENEFICIALLY  

OWNED BY

REPORTING

PERSON

WITH

    5     

  SOLE VOTING POWER

 

  1,404,515

  6     

  SHARED VOTING POWER

 

  0

  7     

  SOLE DISPOSITIVE POWER

 

  1,404,515

  8     

  SHARED DISPOSITIVE POWER

 

  0

  9      

  AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

  1,404,515

10      

  CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES:

 

  ☐

11      

  PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

 

  5.4%(1)

12      

  TYPE OF REPORTING PERSON

 

  OO

 

(1)

Based upon 25,889,625 shares of the Issuer’s Common Stock outstanding as of November 11, 2020, as reported in the Issuer’s Form 10-Q filed with the Securities and Exchange Commission (the “SEC”) on November 16, 2020.

 

Page 3 of 8 Pages


Cusip No. 03820J 10 0    13G    Page 4 of 8 Pages

 

 

  1       

  NAME OF REPORTING PERSONS

 

  Gilbert H. Kliman (a Managing Director of InterWest Management Partners VIII, LLC)

 

  I.R.S. IDENTIFICATION NO(S). OF ABOVE PERSON(S) (ENTITIES ONLY)

  2      

  CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

  (a)  ☐        (b)  ☐

 

  3      

  SEC USE ONLY

 

  4      

  CITIZENSHIP OR PLACE OF ORGANIZATION

 

  United States

NUMBER OF

SHARES

  BENEFICIALLY  

OWNED BY

REPORTING

PERSON

WITH

    5     

  SOLE VOTING POWER

 

  1,404,515

  6     

  SHARED VOTING POWER

 

  0

  7     

  SOLE DISPOSITIVE POWER

 

  1,404,515

  8     

  SHARED DISPOSITIVE POWER

 

  0

  9      

  AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

  1,404,515

10      

  CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES:

 

  ☐

11      

  PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

 

  5.4%

12      

  TYPE OF REPORTING PERSON

 

  IN

Neither the filing of this statement on Schedule 13G nor any of its contents shall be deemed to constitute an admission by Gilbert H. Kliman that he is the beneficial owner of any of the Common Stock referred to herein for purposes of Section 13(d) of the Securities Exchange Act of 1934, as amended, or for any other purpose, and such beneficial ownership is expressly disclaimed, except to the extent of his pecuniary interest.

 

Page 4 of 8 Pages


ITEM 1.

 

(a)

NAME OF ISSUER: Applied Genetic Technologies Corp.

 

(b)

ADDRESS OF ISSUER’S PRINCIPAL EXECUTIVE OFFICE:

11801 Research Drive, Suite D, Alachua, Florida 32615

ITEM 2.

 

(a)

NAME OF PERSON(S) FILING:

InterWest Partners VIII, LP (“IWP VIII”)

InterWest Management Partners VIII, LLC (“IMP VIII”)

Gilbert H. Kliman (“Kliman”)

 

(b)

ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE, RESIDENCE:

467 First Street, Suite 201, Los Altos, CA 94022

 

(c)

CITIZENSHIP/PLACE OF ORGANIZATION:

 

            IWP VIII:    California
   IMP VIII:    California
   Kliman:    United States
     
     
     

Page 5 of 8 Pages


(d)

TITLE OF CLASS OF SECURITIES: Common Stock

 

(e)

CUSIP NUMBER: 03820J 10 0

ITEM 3. NOT APPLICABLE.

ITEM 4. OWNERSHIP.

 

     IWP VIII     IMP VIII (1)     Kliman (2)  

Beneficial Ownership

     1,404,515       1,404,515       1,404,515  

Percentage of Class

     5.4 % (3)      5.4 % (3)      5.4 % (3) 

Sole Voting Power

     1,404,515       1,404,515       1,404,515  

Shared Voting Power

     0       0       0  

Sole Dispositive Power

     1,404,515       1,404,515       1,404,515  

Shared Dispositive Power

     0       0       0  

 

(1)

IMP VIII serves as the general partner of IWP VIII.

(2)

Kliman is the Managing Director of IMP VIII. Beneficial ownership is expressly disclaimed, except to the extent of the pecuniary interest.

(3)

Based upon 25,889,625 shares of the Issuer’s Common Stock outstanding as of November 11, 2020, as reported in the Issuer’s Form 10-Q filed with the Securities and Exchange Commission (the “SEC”) on November 16, 2020.

Page 6 of 8 Pages


ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS.

Not applicable.

ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON.

Under certain circumstances set forth in the limited liability company operating agreement of IMP VIII, the members of such limited liability company have the right to receive dividends from, or the proceeds from the sale of, the common stock of Issuer beneficially owned by such limited liability company.

ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY.

Not applicable.

ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP.

No reporting person is a member of a group as defined in section 240.13d-1(b)(1)(iii)(H) of the Act.

ITEM 9. NOTICE OF DISSOLUTION OF THE GROUP.

Not applicable.

ITEM 10. CERTIFICATION.

Not applicable.

EXHIBITS

Joint Filing Statement attached as Exhibit A.

Page 7 of 8 Pages


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.

Date: February 12, 2021

 

By:  

/s/ Gilbert H. Kliman

    INTERWEST PARTNERS VIII, LP
Name:   Gilbert H. Kliman    

 

By:

 

 

InterWest Management Partners VIII, LLC

      its General Partner
      By:  

/s/ Gilbert H. Kliman

       
      INTERWEST MANAGEMENT PARTNERS VIII, LLC
      By:  

/s/ Gilbert H. Kliman

        Managing Director

Page 8 of 8 Pages

EX-99.A 2 d126670dex99a.htm EX-99.A EX-99.A

EXHIBIT A

Joint Filing Statement

We, the undersigned, hereby express our agreement that the attached Schedule 13G is filed on behalf of each of us.

Date: February 12, 2021

 

By:  

/s/ Gilbert H. Kliman

    INTERWEST PARTNERS VIII, LP
Name:   Gilbert H. Kliman    

 

By:

 

 

InterWest Management Partners VIII, LLC

      its General Partner
      By:  

/s/ Gilbert H. Kliman

       
      INTERWEST MANAGEMENT PARTNERS VIII, LLC
      By:  

/s/ Gilbert H. Kliman

        Managing Director