Krol Patrick Johan Hendrik 4
4 · APPLIED GENETIC TECHNOLOGIES CORP · Filed Dec 30, 2019
Insider Transaction Report
Form 4
Krol Patrick Johan Hendrik
10% Owner
Transactions
- Sale
Common Stock
2019-12-26$5.24/sh−81,162$425,289→ 1,780,762 total(indirect: See footnote)
Holdings
- 24,999(indirect: See footnote)
Common Stock
Footnotes (3)
- [F1]Stichting Aescap 2.0's ("Aescap 2.0") sale of AGTC common stock reported herein was matchable under Section 16(b) of the Securities Exchange Act of 1934, to the extent of 2,544 shares, with Aescap 2.0's purchase of 2,544 shares of AGTC common stock at a price of $2.79 per share on November 19, 2019. Aescap 2.0 has agreed to pay to AGTC, upon settlement of the sale, $6,217.00, representing the full amount of the profit realized in connection with the short-swing transaction, less transaction costs.
- [F2]Shares of Common Stock held directly by Aescap 2.0. Privium Fund Management B.V. ("Privium") is the fund manager of Aescap 2.0 and may be deemed to beneficially own the shares held by Aescap 2.0. Patrick Johan Hendrik Krol ("Krol") is the portfolio manager of Privium and may be deemed to beneficially own the shares held by Aescap 2.0. 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.
- [F3]Shares of Common Stock held directly by Inspirational Visions BV ("Inspirational Visions"). Krol is the managing director of Inspirational Visions and may be deemed to beneficially own the shares held by Inspirational Visions.