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Krol Patrick Johan Hendrik, et al. – ‘4’ for 12/26/19 re: Applied Genetic Technologies Corp.

On:  Monday, 12/30/19, at 4:33pm ET   ·   For:  12/26/19   ·   Accession #:  1104659-19-76800   ·   File #:  1-36370

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  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

12/30/19  Krol Patrick Johan Hendrik        4                      1:10K  Applied Genetic Techs Corp.       Toppan Merrill/FA
          Stichting Aescap 2.0
          Privium Fund Management B.V.
          Inspirational Visions B.V.

Statement of Changes in Beneficial Ownership of Securities by an Insider   —   Form 4   —   SEA’34
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 4           Statement of Changes in Beneficial Ownership of     HTML      3K 
                Securities by an Insider -- a4.xml/3.6


        

This ‘4’ Document is an XML Data File that may be rendered in various formats:

  Form 4    –   Plain Text   –  SEC Website  –  EDGAR System  –    XML Data    –  <?xml?> File
 
 
SEC Info℠ rendering:  Statement of Changes in Beneficial Ownership of Securities by an Insider
 
FORM 4UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number:3235-0287
Estimated average burden
hours per response:0.5
X
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person*
Krol Patrick Johan Hendrik
(Last)(First)(Middle)
GUSTAV MAHLERPLEIN 3
(Street)
AMSTERDAMP71082 MS
(City)(State)(Zip)
2. Issuer Name and Ticker or Trading Symbol
APPLIED GENETIC TECHNOLOGIES CORP [ AGTC ] 		5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
DirectorX10% Owner
Officer (give title below) Other (specify below)
3. Date of Earliest Transaction (Month/Day/Year)
12/26/19
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
Form filed by One Reporting Person
XForm filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year)2A. Deemed Execution Date, if any (Month/Day/Year)3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeVAmount(A) or (D)Price
Common Stock 12/26/19 S (1) 81,162 (1)D$5.241,780,762ISee footnote (2)
Common Stock 24,999ISee footnote (3)
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year)3A. Deemed Execution Date, if any (Month/Day/Year)4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year)7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
1. Name and Address of Reporting Person*
Krol Patrick Johan Hendrik
(Last)(First)(Middle)
GUSTAV MAHLERPLEIN 3
(Street)
AMSTERDAMP71082 MS
(City)(State)(Zip)
1. Name and Address of Reporting Person*
Stichting Aescap 2.0
(Last)(First)(Middle)
GUSTAV MAHLERPLEIN 3
(Street)
AMSTERDAMP71082 MS
(City)(State)(Zip)
1. Name and Address of Reporting Person*
Privium Fund Management B.V.
(Last)(First)(Middle)
GUSTAV MAHLERPLEIN 3
(Street)
AMSTERDAMP71082 MS
(City)(State)(Zip)
1. Name and Address of Reporting Person*
Inspirational Visions B.V.
(Last)(First)(Middle)
GUSTAV MAHLERPLEIN 3
(Street)
AMSTERDAMP71082 MS
(City)(State)(Zip)
Explanation of Responses:
(1)  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.
(2)  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.
(3)  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.
/s/ Patrick Johan Hendrik Krol 12/30/19
STICHTING AESCAP 2.0 By: PRIVIUM FUND MANAGEMENT B.V., ITS FUND MANAGER By: /s/ / Patrick Johan Hendrik Krol Portfolio Manager 12/30/19
PRIVIUM FUND MANAGEMENT B.V. By: /s/ / Patrick Johan Hendrik Krol Portfolio Manager 12/30/19
Inspirational Visions BV By: /s/ / Patrick Johan Hendrik Krol Managing Director 12/30/19
** Signature of Reporting PersonDate
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
____________
Transaction Code:
    S    Open market or private sale of non-derivative or derivative security.

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