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UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

WASHINGTON, D.C. 20549

 

 

SCHEDULE 13G

Under the Securities Exchange Act of 1934

(AMENDMENT NO 5)*

 

 

Applied Genetic Technologies Corp

(Name of Issuer)

 

Common Stock

(Title of Class of Securities)

03820J 10 0

(CUSIP Number)

December 31, 2019

(Date of Event which Requires Filing of this Statement)

 

 

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

☐ Rule 13d-1(b)

☐ Rule 13d-1(c)

☒ Rule 13d-1(d)

 

*

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 the disclosures provided in a prior cover page.

The information required in 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 (however, see the Notes).

 

 

 

 

Page 1 of 11 Pages


Cusip No. 03820J 10 0    13G    Page 2 of 11 Pages

 

 

  1    

  NAME OF REPORTING PERSONS

 

   InterWest Partners VIII, LP

 

  I.R.S. IDENTIFICATION NO(S). OF ABOVE PERSON(S) (ENTITIES ONLY)

  2    

  CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

  (a)  ☐        (b)  ☐

 

  3    

  SEC USE ONLY

 

  4    

  CITIZENSHIP OR PLACE OF ORGANIZATION

 

   California

NUMBER OF

SHARES

  BENEFICIALLY  

OWNED BY

REPORTING

PERSON

WITH

    5     

  SOLE VOTING POWER

 

   1,404,515

  6     

  SHARED VOTING POWER

 

   0

  7     

  SOLE DISPOSITIVE POWER

 

   1,404,515

  8     

  SHARED DISPOSITIVE POWER

 

   0

  9    

  AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

   1,404,515

10    

  CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES:

 

  ☐

11    

  PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

 

   7.7% (1)

12    

  TYPE OF REPORTING PERSON

 

   PN

 

(1)

Based upon 18,275,408 shares of the Issuer’s Common Stock outstanding as of February 4, 2020, as reported in the Issuer’s Form 10-Q filed with the Securities and Exchange Commission (the “SEC”) on February 5, 2020.

 

Page 2 of 11 Pages


Cusip No. 03820J 10 0    13G    Page 3 of 11 Pages

 

  1    

  NAME OF REPORTING PERSONS

 

   InterWest Investors VIII, LP

 

  I.R.S. IDENTIFICATION NO(S). OF ABOVE PERSON(S) (ENTITIES ONLY)

  2    

  CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

  (a)  ☐        (b)  ☐

 

  3    

  SEC USE ONLY

 

  4    

  CITIZENSHIP OR PLACE OF ORGANIZATION

 

   California

NUMBER OF

SHARES

  BENEFICIALLY  

OWNED BY

REPORTING

PERSON

WITH

    5     

  SOLE VOTING POWER

 

   11,208

  6     

  SHARED VOTING POWER

 

   0

  7     

  SOLE DISPOSITIVE POWER

 

   11,208

  8     

  SHARED DISPOSITIVE POWER

 

   0

  9    

  AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

   11,208

10    

  CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES:

 

  ☐

11    

  PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

 

   Less than 0.1% (1)

12    

  TYPE OF REPORTING PERSON

 

   PN

 

(1)

Based upon 18,275,408 shares of the Issuer’s Common Stock outstanding as of February 4, 2020, as reported in the Issuer’s Form 10-Q filed with the Securities and Exchange Commission (the “SEC”) on February 5, 2020.

 

Page 3 of 11 Pages


Cusip No. 03820J 10 0    13G    Page 4 of 11 Pages

 

  1    

  NAME OF REPORTING PERSONS

 

   InterWest Investors Q VIII, LP

 

  I.R.S. IDENTIFICATION NO(S). OF ABOVE PERSON(S) (ENTITIES ONLY)

  2    

  CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

  (a)  ☐        (b)  ☐

 

  3    

  SEC USE ONLY

 

  4    

  CITIZENSHIP OR PLACE OF ORGANIZATION

 

   California

NUMBER OF

SHARES

  BENEFICIALLY  

OWNED BY

REPORTING

PERSON

WITH

    5     

  SOLE VOTING POWER

 

   40,181

  6     

  SHARED VOTING POWER

 

   0

  7     

  SOLE DISPOSITIVE POWER

 

   40,181

  8     

  SHARED DISPOSITIVE POWER

 

   0

  9    

  AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

   40,181

10    

  CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES:

 

  ☐

11    

  PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

 

   0.2% (1)

12    

  TYPE OF REPORTING PERSON

 

   PN

 

(1)

Based upon 18,275,408 shares of the Issuer’s Common Stock outstanding as of February 4, 2020, as reported in the Issuer’s Form 10-Q filed with the Securities and Exchange Commission (the “SEC”) on February 5, 2020.

 

Page 4 of 11 Pages


Cusip No. 03820J 10 0    13G    Page 5 of 11 Pages

 

  1    

  NAME OF REPORTING PERSONS

 

InterWest Management Partners VIII, LLC (the General Partner of InterWest Partners VIII, LP, InterWest Investors VIII, LP, and InterWest Investors Q VIII, LP)

 

  I.R.S. IDENTIFICATION NO(S). OF ABOVE PERSON(S) (ENTITIES ONLY)

  2    

  CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

  (a)  ☐        (b)  ☐

 

  3    

  SEC USE ONLY

 

  4    

  CITIZENSHIP OR PLACE OF ORGANIZATION

 

   California

NUMBER OF

SHARES

  BENEFICIALLY  

OWNED BY

REPORTING

PERSON

WITH

    5     

  SOLE VOTING POWER

 

   1,455,904

  6     

  SHARED VOTING POWER

 

   0

  7     

  SOLE DISPOSITIVE POWER

 

   1,455,904

  8     

  SHARED DISPOSITIVE POWER

 

   0

  9    

  AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

   1,455,904

10    

  CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES:

 

  ☐

11    

  PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

 

   8.0% (1)

12    

  TYPE OF REPORTING PERSON

 

   OO

 

(1)

Based upon 18,275,408 shares of the Issuer’s Common Stock outstanding as of February 4, 2020, as reported in the Issuer’s Form 10-Q filed with the Securities and Exchange Commission (the “SEC”) on February 5, 2020.

 

Page 5 of 11 Pages


Cusip No. 03820J 10 0    13G    Page 6 of 11 Pages

 

  1    

  NAME OF REPORTING PERSONS

 

   Gilbert H. Kliman (a Managing Director of InterWest Management Partners VIII, LLC)

 

  I.R.S. IDENTIFICATION NO(S). OF ABOVE PERSON(S) (ENTITIES ONLY)

  2    

  CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

  (a)  ☐        (b)  ☐

 

  3    

  SEC USE ONLY

 

  4    

  CITIZENSHIP OR PLACE OF ORGANIZATION

 

   United States

NUMBER OF

SHARES

  BENEFICIALLY  

OWNED BY

REPORTING

PERSON

WITH

    5     

  SOLE VOTING POWER

 

   0

  6     

  SHARED VOTING POWER

 

   1,455,904

  7     

  SOLE DISPOSITIVE POWER

 

   0

  8     

  SHARED DISPOSITIVE POWER

 

   1,455,904

  9    

  AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

   1,455,904

10    

  CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES:

 

  ☐

11    

  PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

 

   8.0%

12    

  TYPE OF REPORTING PERSON

 

   IN

Neither the filing of this statement on Schedule 13G nor any of its contents shall be deemed to constitute an admission by Gilbert H. Kliman that he is the beneficial owner of any of the Common Stock referred to herein for purposes of Section 13(d) of the Securities Exchange Act of 1934, as amended, or for any other purpose, and such beneficial ownership is expressly disclaimed, except to the extent of his pecuniary interest.

 

Page 6 of 11 Pages


Cusip No. 03820J 10 0    13G    Page 7 of 11 Pages

 

  1    

  NAME OF REPORTING PERSONS

 

  Arnold L. Oronsky (a Managing Director of InterWest Management Partners VIII, LLC)

 

  I.R.S. IDENTIFICATION NO(S). OF ABOVE PERSON(S) (ENTITIES ONLY)

  2    

  CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

  (a)  ☐        (b)  ☐

 

  3    

  SEC USE ONLY

 

  4    

  CITIZENSHIP OR PLACE OF ORGANIZATION

 

  United States

NUMBER OF

SHARES

  BENEFICIALLY  

OWNED BY

REPORTING

PERSON

WITH

    5     

  SOLE VOTING POWER

 

  28,263

  6     

  SHARED VOTING POWER

 

  1,455,904

  7     

  SOLE DISPOSITIVE POWER

 

  28,263

  8     

  SHARED DISPOSITIVE POWER

 

  1,455,904

  9    

  AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

  1,484,167

10    

  CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES:

 

  ☐

11    

  PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

 

  8.2%

12    

  TYPE OF REPORTING PERSON

 

  IN

Neither the filing of this statement on Schedule 13G nor any of its contents shall be deemed to constitute an admission by Arnold L. Oronsky that he is the beneficial owner of any of the Common Stock referred to herein for purposes of Section 13(d) of the Securities Exchange Act of 1934, as amended, or for any other purpose, and such beneficial ownership is expressly disclaimed, except to the extent of his pecuniary interest.

 

Page 7 of 11 Pages


ITEM 1.

 

(a)

NAME OF ISSUER: Applied Genetic Technologies Corp.

 

(b)

ADDRESS OF ISSUER’S PRINCIPAL EXECUTIVE OFFICE:

11801 Research Drive, Suite D, Alachua, Florida 32615

 

ITEM 2.

 

(a)

NAME OF PERSON(S) FILING:

InterWest Partners VIII, LP (“IWP VIII”)

InterWest Investors VIII, LP (“II VIII”)

InterWest Investors Q VIII, LP (“IIQ VIII”)

InterWest Management Partners VIII, LLC (“IMP VIII”)

Gilbert H. Kliman (“Kliman”)

Arnold L. Oronsky (“Oronsky”)

 

(b)

ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE, RESIDENCE:

2710 Sand Hill Road, Suite 200, Menlo Park, CA 94025

 

(c)

CITIZENSHIP/PLACE OF ORGANIZATION:

 

IWP VIII:    California
II VIII:    California
IIQ VIII:    California
IMP VIII:    California
Kliman:    United States
Oronsky:    United States

 

Page 8 of 11 Pages


(d)

TITLE OF CLASS OF SECURITIES: Common Stock

 

(e)

CUSIP NUMBER: 03820J 10 0

ITEM 3. NOT APPLICABLE.

ITEM 4. OWNERSHIP.

 

     IWP VIII     II VIII     IIQ VIII     IMP VIII (1)  

Beneficial Ownership

     1,404,515       11,208       40,181       1,455,904  

Percentage of Class

     7.8 % (3)      Less than 0.1 % (3)      0.2 % (3)      8.0 % (3) 

Sole Voting Power

     1,404,515       11,208       40,181       1,455,904  

Shared Voting Power

     0       0       0       0  

Sole Dispositive Power

     1,404,515       11,208       40,181       1,455,904  

Shared Dispositive Power

     0       0       0       0  

 

     Kliman (2)     Oronsky (2)(4)  

Beneficial Ownership

     1,455,904       1,484,167  

Percentage of Class

     8.0 % (3)      8.2 % (3) 

Sole Voting Power

     0       28,263  

Shared Voting Power

     1,455,904       1,455,904  

Sole Dispositive Power

     0       28,263  

Shared Dispositive Power

     1,455,904       1,455,904  

 

(1)

IMP VIII serves as the general partner of IWP VIII, II VIII and IIQ VIII.

(2)

Kliman and Oronsky are Managing Directors of IMP VIII, and share voting and dispositive power over the shares held by IWP VIII, II VIII, and IIQ VIII. Beneficial ownership is expressly disclaimed, except to the extent of their pecuniary interest.

(3)

Based upon 18,275,408 shares of the Issuer’s Common Stock outstanding as of February 4, 2020, as reported in the Issuer’s Form 10-Q filed with the Securities and Exchange Commission (the “SEC”) on February 5, 2020.

(4)

Includes 28,263 shares issuable to Oronsky pursuant to outstanding options exercisable within 60 days of December 31, 2019.

 

Page 9 of 11 Pages


ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS.

Not applicable.

ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON.

Under certain circumstances set forth in the limited liability company operating agreement of IMP VIII, the members of such limited liability company have the right to receive dividends from, or the proceeds from the sale of, the common stock of Issuer beneficially owned by such limited liability company.

ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY.

Not applicable.

ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP.

No reporting person is a member of a group as defined in section 240.13d-1(b)(1)(iii)(H) of the Act.

ITEM 9. NOTICE OF DISSOLUTION OF THE GROUP.

Not applicable.

ITEM 10. CERTIFICATION.

Not applicable.

EXHIBITS

Joint Filing Statement attached as Exhibit A.

 

Page 10 of 11 Pages


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

 

By:  

/s/ Gilbert H. Kliman by Karen A. Wilson, Power of Attorney

    INTERWEST PARTNERS VIII, LP
Name:   Gilbert H. Kliman          By: InterWest Management Partners VIII, LLC
      its General Partner
By:  

/s/ Arnold L. Oronsky

    By:  

/s/ Arnold L. Oronsky

Name:   Arnold L. Oronsky      
      INTERWEST INVESTORS VIII, LP
      By: InterWest Management Partners VIII, LLC
      its General Partner
      By:  

/s/ Arnold L. Oronsky

        Managing Director
      INTERWEST INVESTORS Q VIII, LP
      By:   InterWest Management Partners VIII, LLC
        its General Partner
      By:  

/s/ Arnold L. Oronsky

        Managing Director
      INTERWEST MANAGEMENT PARTNERS VIII, LLC
      By:  

/s/ Arnold L. Oronsky

        Managing Director

 

Page 11 of 11 Pages

EX-99.A

EXHIBIT A

Joint Filing Statement

We, the undersigned, hereby express our agreement that the attached Schedule 13G is filed on behalf of each of us.

Date: February 14, 2020

 

By:  

/s/ Gilbert H. Kliman by Karen A. Wilson, Power of Attorney

    INTERWEST PARTNERS VIII, LP
Name:   Gilbert H. Kliman     By: InterWest Management Partners VIII, LLC
           its General Partner
By:  

/s/ Arnold L. Oronsky

    By:  

/s/ Arnold L. Oronsky

Name:   Arnold L. Oronsky      
      INTERWEST INVESTORS VIII, LP
      By: InterWest Management Partners VIII, LLC
      its General Partner
      By:  

/s/ Arnold L. Oronsky

        Managing Director
      INTERWEST INVESTORS Q VIII, LP
      By:   InterWest Management Partners VIII, LLC
        its General Partner
      By:  

/s/ Arnold L. Oronsky

        Managing Director
      INTERWEST MANAGEMENT PARTNERS VIII, LLC
      By:  

/s/ Arnold L. Oronsky

        Managing Director