SEC Form 4
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*
Krol Patrick Johan Hendrik

(Last) (First) (Middle)
GUSTAV MAHLERPLEIN 3

(Street)
AMSTERDAM P7 1082 MS

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
APPLIED GENETIC TECHNOLOGIES CORP [ AGTC ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director X 10% Owner
Officer (give title below) Other (specify below)
3. Date of Earliest Transaction (Month/Day/Year)
11/19/2019
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
Form filed by One Reporting Person
X Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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 11/19/2019 P 2,544 A $2.79 1,861,924 I See footnote(1)
Common Stock 24,999 I See footnote(2)
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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*
Krol Patrick Johan Hendrik

(Last) (First) (Middle)
GUSTAV MAHLERPLEIN 3

(Street)
AMSTERDAM P7 1082 MS

(City) (State) (Zip)
1. Name and Address of Reporting Person*
Stichting Aescap 2.0

(Last) (First) (Middle)
GUSTAV MAHLERPLEIN 3

(Street)
AMSTERDAM P7 1082 MS

(City) (State) (Zip)
1. Name and Address of Reporting Person*
Privium Fund Management B.V.

(Last) (First) (Middle)
GUSTAV MAHLERPLEIN 3

(Street)
AMSTERDAM P7 1082 MS

(City) (State) (Zip)
1. Name and Address of Reporting Person*
Inspirational Visions B.V.

(Last) (First) (Middle)
GUSTAV MAHLERPLEIN 3

(Street)
AMSTERDAM P7 1082 MS

(City) (State) (Zip)
Explanation of Responses:
1. Shares of Common Stock held directly by Stichting Aescap 2.0 ("Aescap 2.0"). Privium Fund Management B.V. ("Privium") is the fund manager of Aescap 2.0. Patrick Johan Hendrik Krol ("Krol") is the portfolio manager of Privium. 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.
2. Shares of Common Stock held directly by Inspirational Visions BV ("Inspirational Visions"). Krol is the managing director of Inspirational Visions.
/s/ Patrick Johan Hendrik Krol 11/26/2019
STICHTING AESCAP 2.0 By: PRIVIUM FUND MANAGEMENT B.V., ITS FUND MANAGER By: /s/ Patrick Johan Hendrik Krol Portfolio Manager 11/26/2019
PRIVIUM FUND MANAGEMENT B.V. By: /s/ Patrick Johan Hendrik Krol Portfolio Manager 11/26/2019
Inspirational Visions BV By: /s/ Patrick Johan Hendrik Krol Managing Director 11/26/2019
** 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.
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