0001062993-22-023017.txt : 20221201
0001062993-22-023017.hdr.sgml : 20221201
20221201091457
ACCESSION NUMBER: 0001062993-22-023017
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20221130
FILED AS OF DATE: 20221201
DATE AS OF CHANGE: 20221201
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Washer Susan B.
CENTRAL INDEX KEY: 0001598540
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36370
FILM NUMBER: 221437535
MAIL ADDRESS:
STREET 1: C/O APPLIED GENETIC TECHNOLOGIES CORP.
STREET 2: 11801 RESEARCH DRIVE, SUITE D
CITY: ALACHUA
STATE: FL
ZIP: 32615
ISSUER:
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
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
4
1
form4.xml
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
X0306
4
2022-11-30
1
0001273636
APPLIED GENETIC TECHNOLOGIES CORP
AGTC
0001598540
Washer Susan B.
C/O APPLIED GENETIC TECHNOLOGIES CORP.
14193 NW 119TH TERRACE, SUITE #10
ALACHUA
FL
32615
1
1
0
0
President and CEO
Common Stock
2022-11-30
4
U
0
143021
D
0
D
Stock Option (Right to Buy)
4.90
2022-11-30
4
D
0
140000
D
2023-09-18
Common Stock
140000
0
D
Stock Option (Right to Buy)
14.08
2022-11-30
4
D
0
99156
D
2024-04-17
Common Stock
99156
0
D
Stock Option (Right to Buy)
16.00
2022-11-30
4
D
0
55780
D
2024-07-31
Common Stock
55780
0
D
Stock Option (Right to Buy)
18.48
2022-11-30
4
D
0
80000
D
2025-07-21
Common Stock
80000
0
D
Stock Option (Right to Buy)
15.57
2022-11-30
4
D
0
80000
D
2026-07-07
Common Stock
80000
0
D
Stock Option (Right to Buy)
4.90
2022-11-30
4
D
0
100000
D
2027-07-17
Common Stock
100000
0
D
Stock Option (Right to Buy)
4.25
2022-11-30
4
D
0
100000
D
2028-07-25
Common Stock
100000
0
D
Stock Option (Right to Buy)
3.00
2022-11-30
4
D
0
100000
D
2029-08-15
Common Stock
100000
0
D
Stock Option (Right to Buy)
5.50
2022-11-30
4
D
0
169000
D
2030-08-05
Common Stock
169000
0
D
Stock Option (Right to Buy)
3.74
2022-11-30
4
D
0
275000
D
2031-07-27
Common Stock
275000
0
D
Stock Option (Right to Buy)
0.40
2022-11-30
4
D
0
442000
D
2032-08-21
Common Stock
442000
0
D
At the effective time of the Merger, each issued and outstanding Share was cancelled in exchange for (1) $0.34 per share of common stock of the Issuer ("Common Stock"), without interest and less any applicable withholding taxes (the "Cash Consideration"); and (2) one contingent value right ("CVR") per share of Common Stock representing the right to receive potential milestone payments, currently estimated to be up to approximately $0.73 per CVR in the aggregate (without interest and less any applicable withholding taxes) (the Cash Consideration plus one CVR, collectively, as such amount may be increased in accordance with the terms of the Merger Agreement, the "Offer Price"). Pursuant to the terms of the Merger Agreement, the Shares were tendered and disposed of at the Acceptance Time (as defined in the Merger Agreement) in exchange for the right to receive the Offer Price.
At the effective time of the Merger, each outstanding option of the Issuer with an exercise price equal to or greater than $0.34 was cancelled without any consideration in respect of such cancelled option.
Pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of October 23, 2022, by and among Applied Genetic Technologies Corporation (the "Issuer"), Alliance Holdco Limited ("Parent") and Alliance Acquisition Sub, Inc., a wholly owned subsidiary of Parent ("Purchaser"), on November 30, 2022, Purchaser completed a tender offer for shares of common stock of the Issuer (each, a "Share") and thereafter merged with and into the Issuer, with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of Parent (the "Merger").
/s/ Stacie Aarestad, Attorney-in-fact
2022-12-01