Sec Form 13D Filing - GSK plc filing for APPLIED GENETIC TECHNOLOGIES CORP (AGTC) - 2020-02-14

Insider filing report for Changes in Beneficial Ownership

  • Schedule 13G & 13D forms are used to report a party's ownership of stock which exceeds 5% of a company's total stock issue.
  • Schedule 13G is a shorter version of Schedule 13D with fewer reporting requirements.
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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.

 

 

 

 

Cusip No. 03820J 10 0 13D/A3 Page 2 of 8

 

1.   NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)

GlaxoSmithKline plc		    
2.   CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(see instructions)
(a)    ☐
(b)    ☐		    
3.   SEC USE ONLY
 		    
4.   SOURCE OF FUNDS (see instructions)
 
WC		    
5.   CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e)     ☐    
6.   CITIZENSHIP OR PLACE OF ORGANIZATION
 
England and Wales		    
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH		   7.   SOLE VOTING POWER
 
0
  8.   SHARED VOTING POWER
 
-0-
  9.   SOLE DISPOSITIVE POWER
 
0
  10.   SHARED DISPOSITIVE POWER
 
-0-
11.   AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

0 shares of Common Stock (1)		    
12.  

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
(see instructions)    ☐

 

    
13.   PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)

0% of the shares of Common Stock		    
14.   TYPE OF REPORTING PERSON (see instructions)

CO		    
Footnotes:        
(1)           Common Stock was held directly by S.R. One, Limited (“SR One”), an indirect, wholly-owned subsidiary of the Reporting Person.

 

 

 

Cusip No. 03820J 10 0 13D/A3 Page 3 of 8

 

 

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		   Number of shares
disposed of 		  Sale price per share
30-Dec-2015   14,500   $20.50200
31-Dec-2015   5,500   $20.31390
31-Dec-2015   5,501   $20.43250
04-Jan-2016   700   $20.00430
22-May-2019   17,714   $3.84860
24-May-2019   15,000   $3.75530
28-May-2019   82,936   $3.72120
30-May-2019   65   $3.70000
30-May-2019   12,825   $3.70000
31-May-2019   581   $3.75000
03-Jun-2019   15,687   $3.75100
04-Jun-2019   31,283   $3.70490
05-Jun-2019   28,097   $3.70020
06-Jun-2019   2,088   $3.70000
07-Jun-2019   616   $3.70760
10-Jun-2019   5,500   $3.70150
18-Jun-2019   16,940   $3.94050
20-Jun-2019   2,569   $3.90190
21-Jun-2019   3,800   $3.91280
24-Jun-2019   4,011   $3.83850
08-Jul-2019   2,700   $3.82090
09-Jul-2019   30,436   $3.84920
10-Jul-2019   100   $3.80000
11-Jul-2019   100   $3.80000
12-Jul-2019   17,202   $3.81170

 

 

 

Cusip No. 03820J 10 0 13D/A3 Page 4 of 8

 

Date of
Transaction		   Number of shares
disposed of 		  Sale price per share
16-Jul-2019   3,000   $3.92070
17-Jul-2019   5,500   $3.90910
18-Jul-2019   13,000   $3.9165
19-Jul-2019   5,300   $3.9727
22-Jul-2019   41,472   $3.9129
23-Jul-2019   50,000   $3.9269
24-Jul-2019   50,000   $4.0267
25-Jul-2019   13,300   $4.1356
26-Jul-2019   2,200   $4.0009
30-Jul-2019   10,600   $3.9542
31-Jul-2019   5,972   $4.0041
13-Aug-2019   300   $3.7100
08-Aug-2019   1,001   $3.9000
07-Aug-2019    111   $3.9450
01-Aug-2019   900   $4.0233
11-Sep-2019   17,082   $3.7482
12-Sep-2019   500   $3.7540
13-Sep-2019   25,000   $3.7602
16-Sep-2019   25,000   $3.7800
19-Sep-2019   2,204   $3.7577
24-Sep-2019   25,000   $3.7575
25-Sep-2019   25,000   $3.7511
27-Sep-2019   156,300   $4.4208
30-Sep-2019   75,000   $4.1066
01-Oct-2019   6,583   $4.1500
02-Oct-2019   4,102   $4.1069
13-Nov-2019   100   $3.0000
22-Nov-2019   12,131   $2.7500
25-Nov-2019   25,000   $2.7538
26-Nov-2019   680   $2.8074
27-Nov-2019   8,691   $2.8003
29-Nov-2019   33,729   $2.7579
02-Dec-2019   16,065   $2.7568
03-Dec-2019   47,294   $2.7565
04-Dec-2019   50,000   $2.9292
05-Dec-2019   50,000   $2.9598
06-Dec-2019   50,000   $2.9394
09-Dec-2019   37,428   $2.8387
10-Dec-2019   1,100   $2.7555
13-Dec-2019   18,193   $2.7508
16-Dec-2019   50,000   $2.8215
18-Dec-2019   39,907   $2.7549
18-Dec-2019   11,813   $2.8007
18-Dec-2019   25,000   $2.8256
19-Dec-2019   78,439   $2.8840

 

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.

 

 

 

Cusip No. 03820J 10 0 13D/A3 Page 5 of 8

 

 

 

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

 

  GLAXOSMITHKLINE PLC  
       
  By: /s/ Victoria A. Whyte  
  Name:   Victoria A. Whyte  
  Title:     Authorized Signatory  

 

 

 

Cusip No. 03820J 10 0 13D/A3 Page 6 of 8

 

SCHEDULE 1

 

Name

Business Address

Principal Occupation or Employment

Citizenship

Board of Directors      
Emma Walmsley 980 Great West Road
Brentford
Middlesex, England
TW8 9GS		 Executive Director and Chief Executive Officer British
Manvinder Singh Banga 980 Great West Road
Brentford
Middlesex, England
TW8 9GS

Company Director

British & Indian

Dr. Hal Barron

269 E. Grand Avenue,

South San Francisco,

CA 94080

 Chief Scientific Officer & President, R&D US
Dr. Vivienne Cox 980 Great West Road
Brentford
Middlesex, England
TW8 9GS		 Company Director British
Lynn Elsenhans 980 Great West Road
Brentford
Middlesex, England
TW8 9GS		 Company Director US
Dr. Jesse Goodman 980 Great West Road
Brentford
Middlesex, England
TW8 9GS		 Company Director US
Dr. Laurie Glimcher 980 Great West Road
Brentford
Middlesex, England
TW8 9GS		 Company Director US
Judy Lewent 980 Great West Road
Brentford
Middlesex, England
TW8 9GS		 Company Director

US

 

Iain MacKay 980 Great West Road
Brentford
Middlesex, England
TW8 9GS		 Executive Director & Chief Financial Officer British

Urs Rohner

 

 980 Great West Road
Brentford
Middlesex, England
TW8 9GS		 Company Director Swiss

 

 

 

Cusip No. 03820J 10 0 13D/A3 Page 7 of 8

 

Name

Business Address

Principal Occupation or Employment

Citizenship

Jonathan Symonds 980 Great West Road
Brentford
Middlesex, England
TW8 9GS		 Chairman and Company Director British

 

Corporate Executive Team      
Emma Walmsley 980 Great West Road
Brentford
Middlesex, England
TW8 9GS		 Executive Director and Chief Executive Officer British
Dr. Hal Barron

269 E. Grand Avenue,

South San Francisco,

CA 94080

Chief Scientific Officer & President, R&D

 

 US
Roger Connor 980 Great West Road
Brentford
Middlesex, England
TW8 9GS		 President, Global Vaccines Irish
Diana Conrad 980 Great West Road
Brentford
Middlesex, England
TW8 9GS		 Senior Vice President, Human Resoures Canadian
James Ford 980 Great West Road
Brentford
Middlesex, England
TW8 9GS		 Senior Vice President & General Counsel British & US
Nick Hirons 980 Great West Road
Brentford
Middlesex, England
TW8 9GS		 Senior Vice President, Global Ethics and Compliance British & US
Sally Jackson 980 Great West Road
Brentford
Middlesex, England
TW8 9GS		 Senior Vice President, Global Communications and CEO Office British
Iain MacKay 980 Great West Road
Brentford
Middlesex, England
TW8 9GS		 Executive Director & Chief Financial Officer British
Brian McNamara 184 Liberty Corner Road
Warren
NJ, 07059		 Chief Executive Officer, GSK Consumer Healthcare US

 

 

 

Cusip No. 03820J 10 0 13D/A3 Page 8 of 8

 

Luke Miels

 

 980 Great West Road
Brentford
Middlesex, England
TW8 9GS		 President, Global Pharmaceuticals Australian
David Redfern 980 Great West Road
Brentford
Middlesex, England
TW8 9GS		 Chief Strategy Officer British
Regis Simard 980 Great West Road
Brentford
Middlesex, England
TW8 9GS		 President Pharmaceutical Supply Chain French & British
Karenann Terrell 980 Great West Road
Brentford
Middlesex, England
TW8 9GS		 Chief Digital and Technology Officer Canadian
Philip Thomson 980 Great West Road
Brentford
Middlesex, England
TW8 9GS		 President, Global Affairs British
Deborah Waterhouse 980 Great West Road
Brentford
Middlesex, England
TW8 9GS		 Chief Executive Officer of ViiV Healthcare British