Amended Statement of Beneficial Ownership (sc 13d/a)
February 14 2020 - 5:48PM
Edgar (US Regulatory)
UNITED
STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE
13D
(Amendment No. 3)*
INFORMATION
TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(a) AND AMENDMENTS
THERETO FILED PURSUANT TO 240.13d-2(a) UNDER
THE SECURITIES EXCHANGE ACT OF 1934
APPLIED
GENETIC TECHNOLOGIES CORPORATION
(Name of Issuer)
Common Stock, Par Value $0.001
(Title of Class of Securities)
03820J 10 0
(CUSIP Number)
Victoria A. Whyte
GlaxoSmithKline plc
980 Great West Road
Brentford, Middlesex TW8 9GS
England
Telephone: +44 (0)208 047 5000
(Name, Address and Telephone Number of Person
Authorized to Receive Notices and Communications)
May 22, 2019
(Date of Event which Requires Filing of
this Statement)
If the filing person has previously filed a statement on Schedule
13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of §§240.13d-1(e),
240.13d-1(f) or 240.13d-1(g), check the following box. ☐
Note: Schedules filed in paper format shall include a
signed original and five copies of the schedule, including all exhibits. See §240.13d-7 for other parties to whom copies are
to be sent.
* The remainder of this cover page shall be filled
out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent
amendment containing information which would alter disclosures provided in a prior cover page.
The information required on the remainder of this cover page
shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”)
or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act.
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Cusip No. 03820J 10 0
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13D/A3
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Page 2 of 8
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1.
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NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
GlaxoSmithKline plc
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2.
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(see instructions)
(a) ☐
(b) ☐
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3.
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SEC USE ONLY
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4.
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SOURCE OF FUNDS (see instructions)
WC
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5.
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CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) ☐
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6.
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CITIZENSHIP OR PLACE OF ORGANIZATION
England and Wales
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NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH
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7.
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SOLE VOTING POWER
0
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8.
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SHARED VOTING POWER
-0-
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9.
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SOLE DISPOSITIVE POWER
0
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10.
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SHARED DISPOSITIVE POWER
-0-
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11.
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
0 shares of Common Stock (1)
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12.
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CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
(see instructions) ☐
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13.
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0% of the shares of Common Stock
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14.
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TYPE OF REPORTING PERSON (see instructions)
CO
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Footnotes:
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(1) Common Stock was held directly by S.R. One, Limited (“SR One”), an indirect, wholly-owned subsidiary of the Reporting Person.
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Cusip No. 03820J 10 0
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13D/A3
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Page 3 of 8
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Item 1. Security
and Issuer.
This Amendment No. 3 to Schedule 13D amends and supplements
the statement on Schedule 13D originally filed on April 7, 2014 (as amended by Amendment No.1 filed on February 13, 2015 and Amendment
No.2 filed on February 24, 2015 , the “Schedule 13D”, and as amended by this Amendment No.3, the “Statement”)
with respect to the shares of common stock, par value $0.001 per share (the “Common Stock”) of Applied Genetic Technologies
Corporation, a Delaware corporation (the “Issuer”). The Issuer’s principal executive offices are located at 14193
NW 119th Terrace, Suite 10, Alachua, Florida 32615. This Amendment No.3 is filed to disclose (1) the disposition
of all of Common Stock held by the Reporting Person as well as (2) that the Reporting Person has ceased to be the beneficial owner
of more than five percent of the Common Stock. Unless otherwise indicated, each capitalized term used but not defined herein shall
have the meaning assigned to such term in the Schedule 13D.
Item 2. Identity and Background.
The response set forth in Item 2 of the Schedule 13D is hereby
amended by deleting Schedule 1 in its entirety and replacing it with Schedule 1 attached.
Item 5. Interest in Securities of the Issuer.
The response set forth in Item 5 of the Schedule 13D is hereby
amended by deleting the previous response in its entirety and replacing it with the following:
(a), (b) The information contained in rows 7, 8, 9, 10, 11,
and 13 on each of the cover pages of this Statement is incorporated by reference in its entirety into this Item 5.
(c) From December 30, 2015 to December 19, 2019 S.R. One disposed
1,436,448 shares of Common Stock as follows.
Date of
Transaction
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Number of shares
disposed
of
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Sale price per share
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30-Dec-2015
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14,500
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$20.50200
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31-Dec-2015
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5,500
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$20.31390
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31-Dec-2015
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5,501
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$20.43250
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04-Jan-2016
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700
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$20.00430
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22-May-2019
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17,714
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$3.84860
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24-May-2019
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15,000
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$3.75530
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28-May-2019
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82,936
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$3.72120
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30-May-2019
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65
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$3.70000
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30-May-2019
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12,825
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$3.70000
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31-May-2019
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581
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$3.75000
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03-Jun-2019
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15,687
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$3.75100
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04-Jun-2019
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31,283
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$3.70490
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05-Jun-2019
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28,097
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$3.70020
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06-Jun-2019
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2,088
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$3.70000
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07-Jun-2019
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616
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$3.70760
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10-Jun-2019
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5,500
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$3.70150
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18-Jun-2019
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16,940
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$3.94050
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20-Jun-2019
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2,569
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$3.90190
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21-Jun-2019
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3,800
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$3.91280
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24-Jun-2019
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4,011
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$3.83850
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08-Jul-2019
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2,700
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$3.82090
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09-Jul-2019
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30,436
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$3.84920
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10-Jul-2019
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100
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$3.80000
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11-Jul-2019
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100
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$3.80000
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12-Jul-2019
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17,202
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$3.81170
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Cusip No. 03820J 10 0
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13D/A3
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Page 4 of 8
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Date of
Transaction
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Number of shares
disposed
of
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Sale price per share
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16-Jul-2019
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3,000
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$3.92070
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17-Jul-2019
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5,500
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$3.90910
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18-Jul-2019
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13,000
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$3.9165
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19-Jul-2019
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5,300
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$3.9727
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22-Jul-2019
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41,472
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$3.9129
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23-Jul-2019
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50,000
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$3.9269
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24-Jul-2019
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50,000
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$4.0267
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25-Jul-2019
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13,300
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$4.1356
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26-Jul-2019
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2,200
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$4.0009
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30-Jul-2019
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10,600
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$3.9542
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31-Jul-2019
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5,972
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$4.0041
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13-Aug-2019
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300
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$3.7100
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08-Aug-2019
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1,001
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$3.9000
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07-Aug-2019
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111
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$3.9450
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01-Aug-2019
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900
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$4.0233
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11-Sep-2019
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17,082
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$3.7482
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12-Sep-2019
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500
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$3.7540
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13-Sep-2019
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25,000
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$3.7602
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16-Sep-2019
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25,000
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$3.7800
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19-Sep-2019
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2,204
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$3.7577
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24-Sep-2019
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25,000
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$3.7575
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25-Sep-2019
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25,000
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$3.7511
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27-Sep-2019
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156,300
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$4.4208
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30-Sep-2019
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75,000
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$4.1066
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01-Oct-2019
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6,583
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$4.1500
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02-Oct-2019
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4,102
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$4.1069
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13-Nov-2019
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100
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$3.0000
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22-Nov-2019
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12,131
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$2.7500
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25-Nov-2019
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25,000
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$2.7538
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26-Nov-2019
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680
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$2.8074
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27-Nov-2019
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8,691
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$2.8003
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29-Nov-2019
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33,729
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$2.7579
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02-Dec-2019
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16,065
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$2.7568
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03-Dec-2019
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47,294
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$2.7565
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04-Dec-2019
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50,000
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$2.9292
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05-Dec-2019
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50,000
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$2.9598
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06-Dec-2019
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50,000
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$2.9394
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09-Dec-2019
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37,428
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$2.8387
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10-Dec-2019
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1,100
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$2.7555
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13-Dec-2019
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18,193
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$2.7508
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16-Dec-2019
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50,000
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$2.8215
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18-Dec-2019
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39,907
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$2.7549
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18-Dec-2019
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11,813
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$2.8007
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18-Dec-2019
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25,000
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$2.8256
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19-Dec-2019
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78,439
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$2.8840
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Each disposition listed above was made in an open market transaction
through a broker on the Nasdaq Global Market.
(d) No person, other than GlaxoSmithKline plc, is known to have
the right to receive or the power to direct the receipt of dividends from, or any proceeds from the sale of, the shares of Common
Stock beneficially owned by GlaxoSmithKline plc.
(e) The Reporting Person has ceased to be the beneficial owner
of more than five percent of the Common Stock on September 11, 2019. Therefore, this is the final amendment to the Statement and
an exit filing for the Reporting Person.
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Cusip No. 03820J 10 0
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13D/A3
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Page 5 of 8
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SIGNATURE
After reasonable inquiry and to the best
of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.
Date: February 14, 2020
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GLAXOSMITHKLINE PLC
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By:
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/s/ Victoria A. Whyte
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Name: Victoria A. Whyte
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Title: Authorized Signatory
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Cusip No. 03820J 10 0
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13D/A3
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Page 6 of 8
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SCHEDULE 1
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Name
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Business Address
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Principal Occupation
or Employment
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Citizenship
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Board of Directors
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Emma Walmsley
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980 Great West Road
Brentford
Middlesex, England
TW8 9GS
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Executive Director and Chief Executive Officer
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British
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Manvinder Singh Banga
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980 Great West Road
Brentford
Middlesex, England
TW8 9GS
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Company Director
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British & Indian
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Dr. Hal Barron
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269 E. Grand Avenue,
South San Francisco,
CA 94080
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Chief Scientific Officer & President, R&D
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US
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Dr. Vivienne Cox
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980 Great West Road
Brentford
Middlesex, England
TW8 9GS
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Company Director
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British
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Lynn Elsenhans
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980 Great West Road
Brentford
Middlesex, England
TW8 9GS
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Company Director
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US
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Dr. Jesse Goodman
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980 Great West Road
Brentford
Middlesex, England
TW8 9GS
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Company Director
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US
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Dr. Laurie Glimcher
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980 Great West Road
Brentford
Middlesex, England
TW8 9GS
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Company Director
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US
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Judy Lewent
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980 Great West Road
Brentford
Middlesex, England
TW8 9GS
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Company Director
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US
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Iain MacKay
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980 Great West Road
Brentford
Middlesex, England
TW8 9GS
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Executive Director & Chief Financial Officer
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British
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Urs Rohner
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980 Great West Road
Brentford
Middlesex, England
TW8 9GS
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Company Director
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Swiss
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Cusip No. 03820J 10 0
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13D/A3
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Page 7 of 8
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Name
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Business Address
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Principal Occupation
or Employment
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Citizenship
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Jonathan Symonds
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980 Great West Road
Brentford
Middlesex, England
TW8 9GS
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Chairman and Company Director
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British
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Corporate Executive Team
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Emma Walmsley
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980 Great West Road
Brentford
Middlesex, England
TW8 9GS
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Executive Director and Chief Executive Officer
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British
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Dr. Hal Barron
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269 E. Grand Avenue,
South San Francisco,
CA 94080
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Chief Scientific Officer & President, R&D
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US
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Roger Connor
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980 Great West Road
Brentford
Middlesex, England
TW8 9GS
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President, Global Vaccines
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Irish
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Diana Conrad
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980 Great West Road
Brentford
Middlesex, England
TW8 9GS
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Senior Vice President, Human Resoures
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Canadian
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James Ford
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980 Great West Road
Brentford
Middlesex, England
TW8 9GS
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Senior Vice President & General Counsel
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British & US
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Nick Hirons
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980 Great West Road
Brentford
Middlesex, England
TW8 9GS
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Senior Vice President, Global Ethics and Compliance
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British & US
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Sally Jackson
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980 Great West Road
Brentford
Middlesex, England
TW8 9GS
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Senior Vice President, Global Communications and CEO Office
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British
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Iain MacKay
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980 Great West Road
Brentford
Middlesex, England
TW8 9GS
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Executive Director & Chief Financial Officer
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British
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Brian McNamara
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184 Liberty Corner Road
Warren
NJ, 07059
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Chief Executive Officer, GSK Consumer Healthcare
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US
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Cusip No. 03820J 10 0
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13D/A3
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Page 8 of 8
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Luke Miels
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980 Great West Road
Brentford
Middlesex, England
TW8 9GS
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President, Global Pharmaceuticals
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Australian
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David Redfern
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980 Great West Road
Brentford
Middlesex, England
TW8 9GS
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Chief Strategy Officer
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British
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Regis Simard
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980 Great West Road
Brentford
Middlesex, England
TW8 9GS
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President Pharmaceutical Supply Chain
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French & British
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Karenann Terrell
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980 Great West Road
Brentford
Middlesex, England
TW8 9GS
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Chief Digital and Technology Officer
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Canadian
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Philip Thomson
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980 Great West Road
Brentford
Middlesex, England
TW8 9GS
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President, Global Affairs
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British
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Deborah Waterhouse
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980 Great West Road
Brentford
Middlesex, England
TW8 9GS
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Chief Executive Officer of ViiV Healthcare
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British
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