Current Report Filing (8-k)
July 03 2018 - 3:06PM
Edgar (US Regulatory)
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM
8-K
CURRENT
REPORT
PURSUANT TO SECTION 13 OR 15(D)
OF THE SECURITIES EXCHANGE ACT OF 1934
Date of Report (Date of earliest event reported): June 28, 2018
APPLIED GENETIC TECHNOLOGIES CORPORATION
(Exact Name of Registrant as Specified in Charter)
|
|
|
|
|
Delaware
|
|
001-36370
|
|
59-3553710
|
(State or other jurisdiction
of incorporation)
|
|
(Commission
File Number)
|
|
(IRS Employer
Identification Number)
|
14193 NW 119
th
Terrace
Suite 10
Alachua,
Florida, 32165
(Address of principal executive offices) (Zip Code)
(386)
462-2204
(Registrants telephone number, including area code)
Not Applicable
(Former
Name or Former Address, if Changed Since Last Report)
Check the appropriate box below
if the Form
8-K
filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below).
☐
|
Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
|
☐
|
Soliciting material pursuant to Rule
14a-12
under the Exchange Act (17 CFR
240.14a-12)
|
☐
|
Pre-commencement
communications pursuant to Rule
14d-2(b)
under the Exchange Act (17 CFR
240.14d-2(b))
|
☐
|
Pre-commencement
communications pursuant to Rule
13e-4(c)
under the Exchange Act (17 CFR
240.13e-4(c))
|
Indicate by check mark whether the registrant is an emerging growth company as
defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule
12b-2
of the Securities Exchange Act of 1934
(§240.12b-2
of this chapter).
Emerging growth company ☒
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or
revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☒
Item 5.05
|
Amendments to the Registrants Code of Ethics, or Waiver of a Provision of the Code of Ethics.
|
On
June 28, 2018, Applied Genetic Technologies Corporation (the Company) amended and restated the Companys Code of Ethics (the Code of Ethics) to, among other things, (i) update the Companys reporting and
compliance procedures to provide for an Ethics and Compliance Hotline; (ii) modify the process for requesting a waiver of the Code of Ethics and policies referenced therein; (iii) refine the responsibilities of the Companys Chief
Executive Officer, Chief Financial Officer and other executive and financial officers with respect to internal controls and disclosure controls and procedures; (iv) prohibit management from overriding any policy outlined in the Code of Ethics
without reporting such override to the Companys Audit Committee; (v) remove language that the Company considered to be dated or duplicative and unnecessary; and (vi) effect minor technical, administrative and other
non-substantive
changes.
A copy of the Code of Ethics is available in the InvestorsCorporate
Governance section of the Companys website at
www.agtc.com
.
The foregoing description of the amendments to the Code of
Ethics does not purport to be complete and is qualified in its entirety by reference to the Code of Ethics, attached as Exhibit 14.1 hereto and incorporated herein by reference.
Item 9.01.
|
Financial Statements and Exhibits.
|
(d) Exhibits.
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by
the undersigned thereunto duly authorized.
|
|
|
APPLIED GENETIC TECHNOLOGIES CORPORATION
|
|
|
By:
|
|
/s/ Andrew Ashe
|
|
|
Andrew Ashe
|
|
|
General Counsel
|
Date: July 3, 2018
Applied Genetic Technolo... (NASDAQ:AGTC)
Historical Stock Chart
From Mar 2024 to Apr 2024
Applied Genetic Technolo... (NASDAQ:AGTC)
Historical Stock Chart
From Apr 2023 to Apr 2024