Rosen James 4

Accession 0001062993-22-023028

CIK 0001273636other

Filed

Nov 30, 7:00 PM ET

Accepted

Dec 1, 9:22 AM ET

Size

24.4 KB

Accession

0001062993-22-023028

Form 4

Period: 2022-11-30

Director10% Owner

Transactions

Disposition to Issuer
Stock Option (Right to Buy)
2022-11-30−4,688→ 0 total
Exercise: $20.83Exp: 2024-12-19→ Common Stock (4,688 underlying)
Disposition to Issuer
Stock Option (Right to Buy)
2022-11-30−10,000→ 0 total
Exercise: $6.90Exp: 2028-11-15→ Common Stock (10,000 underlying)
Disposition to Issuer
Stock Option (Right to Buy)
2022-11-30−12,000→ 0 total
Exercise: $4.72Exp: 2030-12-16→ Common Stock (12,000 underlying)
Disposition from Tender
Common Stock
2022-11-30−1,000→ 0 total
Disposition to Issuer
Stock Option (Right to Buy)
2022-11-30−9,375→ 0 total
Exercise: $12.00Exp: 2024-03-26→ Common Stock (9,375 underlying)
Disposition to Issuer
Stock Option (Right to Buy)
2022-11-30−6,200→ 0 total
Exercise: $16.06Exp: 2025-11-19→ Common Stock (6,200 underlying)
Disposition to Issuer
Stock Option (Right to Buy)
2022-11-30−8,000→ 0 total
Exercise: $7.75Exp: 2027-02-28→ Common Stock (8,000 underlying)
Disposition to Issuer
Stock Option (Right to Buy)
2022-11-30−10,000→ 0 total
Exercise: $4.25Exp: 2028-07-25→ Common Stock (10,000 underlying)
Disposition to Issuer
Stock Option (Right to Buy)
2022-11-30−10,000→ 0 total
Exercise: $3.02Exp: 2029-12-04→ Common Stock (10,000 underlying)
Disposition to Issuer
Stock Option (Right to Buy)
2022-11-30−14,000→ 0 total
Exercise: $2.17Exp: 2031-11-30→ Common Stock (14,000 underlying)

Footnotes (2)

[F1]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.
[F2]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.

Documents

1 file

APPLIED GENETIC TECHNOLOGIES CORP

CIK 0001273636

Entity typeother