AGTC / Applied Genetic Technologies Corp - Pemfailan SEC, Laporan Tahunan, Penyata Proksi

AGTC / Applied Genetic Technologies Corp / Beryl Capital Management LLC Passive Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* Applied Genetic Technologies Corporation (Name of Issuer) Common Stock, par value $0.001 (Title of Class of Securities) 03820J100 (CUSIP Number) December 31, 2022 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to design

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 15 CERTIFICATION AND NOTICE OF TERMINATION OF REGISTRATION UNDER SECTION 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR SUSPENSION OF DUTY TO FILE REPORTS UNDER SECTIONS 13

15-12G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 15 CERTIFICATION AND NOTICE OF TERMINATION OF REGISTRATION UNDER SECTION 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR SUSPENSION OF DUTY TO FILE REPORTS UNDER SECTIONS 13 AND 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 001-36370 Applied Genetic Technologies Corporation (Exact name of reg

AGTC / Applied Genetic Technologies Corp / Tetragon Financial Management LP - APPLIED GENETIC TECHNOLOGIES CORPORATION Activist Investment

SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. )* Applied Genetic Technologies Corporation (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 03820J100 (CUSIP Number) Sven Krogius c/o TFG Asset Management UK LLP 399 Park Avenue, 22nd Floor New York, NY 10022 +1 212 359 7300 (Name,

JOINT FILING AGREEMENT PURSUANT TO RULE 13d-1(k)

EXHIBIT 99.1 JOINT FILING AGREEMENT PURSUANT TO RULE 13d-1(k) The undersigned acknowledge and agree that the foregoing statement on Schedule 13D is filed on behalf of each of the undersigned and that all subsequent amendments to this statement on Schedule 13D shall be filed on behalf of each of the undersigned without the necessity of filing additional joint filing agreements. The undersigned ackn

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14D-9 (Rule 14d-101) SOLICITATION/RECOMMENDATION STATEMENT PURSUANT TO SECTION 14(d)(4) OF THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 7) Applied Genetic Technolo

SC 14D9/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14D-9 (Rule 14d-101) SOLICITATION/RECOMMENDATION STATEMENT PURSUANT TO SECTION 14(d)(4) OF THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 7) Applied Genetic Technologies Corporation (Name of Subject Company) Applied Genetic Technologies Corporation (Name of Person(s) Filing Statement) Common Stock, par v

As filed with the Securities and Exchange Commission on December 1, 2022

POS AM 1 d412767dposam.htm POS AM As filed with the Securities and Exchange Commission on December 1, 2022 Registration Nos. 333-255008 333-225286 333-204064 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 Post-Effective Amendment No. 1 to Form S-3, Registration Statement No. 333-255008 Post-Effective Amendment No. 1 to Form S-3, Registration Statement No. 333-225286 Post-E

As filed with the Securities and Exchange Commission on December 1, 2022

POS AM As filed with the Securities and Exchange Commission on December 1, 2022 Registration Nos.

Press Release issued by the Company, dated as of December 1, 2022.

Exhibit (a)(5)(H) Syncona Limited Portfolio Company Successfully Completes Tender Offer and Acquisition of Applied Genetic Technologies Corporation GAINESVILLE, Fla.

As filed with the Securities and Exchange Commission on December 1, 2022

S-8 POS As filed with the Securities and Exchange Commission on December 1, 2022 Registration Nos.

As filed with the Securities and Exchange Commission on December 1, 2022

S-8 POS As filed with the Securities and Exchange Commission on December 1, 2022 Registration Nos.

UNITED STATES 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): November 30, 2022 APPLIED GENETIC

UNITED STATES 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): November 30, 2022 APPLIED GENETIC TECHNOLOGIES CORPORATION (Exact Name of Registrant as Specified in Charter) Delaware 001-36370 59-3553710 (State or other jurisdiction of incorporati

Sixth Amended and Restated Certificate of Incorporation of the Company.

EX-3.1 Exhibit 3.1 SIXTH AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF APPLIED GENETIC TECHNOLOGIES CORPORATION FIRST: The name of the corporation (hereinafter called the “Corporation”) is Applied Genetic Technologies Corporation SECOND: The address, including street, number, city, and county, of the registered office of the Corporation in the State of Delaware is 251 Little Falls Drive, Ci

As filed with the Securities and Exchange Commission on December 1, 2022

POS AM As filed with the Securities and Exchange Commission on December 1, 2022 Registration Nos.

As filed with the Securities and Exchange Commission on December 1, 2022

S-8 POS As filed with the Securities and Exchange Commission on December 1, 2022 Registration Nos.

Press Release issued by Syncona, dated as of December 1, 2022.

Exhibit (a)(5)(G) Syncona Limited Syncona completes acquisition of Applied Genetic Technologies Corporation (AGTC) · Syncona to invest $23.

As filed with the Securities and Exchange Commission on December 1, 2022

S-8 POS 1 d384485ds8pos.htm S-8 POS As filed with the Securities and Exchange Commission on December 1, 2022 Registration Nos. 333-267635 333-259746 333-248900 333-233955 333-198979 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 Post-Effective Amendment No. 1 to Form S-8, Registration Statement No. 333-267635 Post-Effective Amendment No. 1 to Form S-8, Registration Stateme

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE TO TENDER OFFER STATEMENT UNDER SECTION 14(D)(1) OR 13(E)(1) OF THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 3) Applied Genetic Technologies Corporation (Name of S

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE TO TENDER OFFER STATEMENT UNDER SECTION 14(D)(1) OR 13(E)(1) OF THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 3) Applied Genetic Technologies Corporation (Name of Subject Company (Issuer)) Alliance Acquisition Sub, Inc. Alliance Holdco Limited Syncona Portfolio Limited (Offerors) Syncona Investment Management Lim

As filed with the Securities and Exchange Commission on December 1, 2022

S-8 POS As filed with the Securities and Exchange Commission on December 1, 2022 Registration Nos.

Second Amended and Restated Bylaws of the Company.

EX-3.2 Exhibit 3.2 SECOND AMENDED AND RESTATED BY-LAWS OF APPLIED GENETIC TECHNOLOGIES CORPORATION ARTICLE I - STOCKHOLDERS Section 1. Annual Meeting. An annual meeting of the stockholders, for the election of directors to succeed those whose terms expire and for the transaction of such other business as may properly come before the meeting, shall be held at 10:00 a.m. Eastern Time or such other t

UNITED STATES 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): November 29, 2022 APPLIED GENETIC

UNITED STATES 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): November 29, 2022 APPLIED GENETIC TECHNOLOGIES CORPORATION (Exact Name of Registrant as Specified in Charter) Delaware 001-36370 59-3553710 (State or other jurisdiction of incorporati

Press Release issued by the Company, dated as of November 29, 2022

Exhibit (a)(5)(F) Syncona Limited Portfolio Company Extends Tender Offer to Acquire Applied Genetic Technologies Corporation GAINESVILLE, Fla.

Syncona Limited Portfolio Company Extends Tender Offer to Acquire Applied Genetic Technologies Corporation

EX-99.1 Exhibit 99.1 Syncona Limited Portfolio Company Extends Tender Offer to Acquire Applied Genetic Technologies Corporation GAINESVILLE, Fla., and CAMBRIDGE, Mass., November 29, 2022 – Applied Genetic Technologies Corporation (“AGTC” or the “Company”) (Nasdaq: AGTC), announced today that a portfolio company of Syncona Limited (LON: SYNC) (“Syncona”) has extended the expiration of its previousl

Press Release issued by Syncona, dated as of November 29, 2022

Exhibit (a)(5)(E) Syncona Limited Syncona extends tender offer for Applied Genetic Technologies Corporation (AGTC) 29 November 2022 Syncona Limited, a leading healthcare company focused on creating, building and scaling a portfolio of global leaders in life science, today announces that its portfolio company has extended the expiration time of its previously announced tender offer to purchase all of the issued and outstanding shares of common stock of Applied Genetic Technologies Corporation (?AGTC?) (Nasdaq: AGTC) for $23.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14D-9 (Rule 14d-101) SOLICITATION/RECOMMENDATION STATEMENT PURSUANT TO SECTION 14(d)(4) OF THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 6) Applied Genetic Technolo

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14D-9 (Rule 14d-101) SOLICITATION/RECOMMENDATION STATEMENT PURSUANT TO SECTION 14(d)(4) OF THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 6) Applied Genetic Technologies Corporation (Name of Subject Company) Applied Genetic Technologies Corporation (Name of Person(s) Filing Statement) Common Stock, par value $0.00

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE TO TENDER OFFER STATEMENT UNDER SECTION 14(D)(1) OR 13(E)(1) OF THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 2) Applied Genetic Technologies Corporation (Name of S

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE TO TENDER OFFER STATEMENT UNDER SECTION 14(D)(1) OR 13(E)(1) OF THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 2) Applied Genetic Technologies Corporation (Name of Subject Company (Issuer)) Alliance Acquisition Sub, Inc. Alliance Holdco Limited Syncona Portfolio Limited (Offerors) Syncona Investment Management Lim

Press Release issued by the Company, dated November 28, 2022.

EX-99.(a)(30) Exhibit (a)(30) *FINAL REMINDER* AGTC Urges Shareholders to Tender Their Shares by November 28, 2022 *FINAL REMINDER* GAINESVILLE, Florida and CAMBRIDGE, Massachusetts, November 28, 2022 – Applied Genetic Technologies Corporation (Nasdaq: AGTC), President and Chief Executive Officer, Sue Washer, reminds AGTC stockholders: A Syncona Limited portfolio company has commenced a tender off

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14D-9 (Rule 14d-101) SOLICITATION/RECOMMENDATION STATEMENT PURSUANT TO SECTION 14(d)(4) OF THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 5) Applied Genetic Technolo

SC 14D9/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14D-9 (Rule 14d-101) SOLICITATION/RECOMMENDATION STATEMENT PURSUANT TO SECTION 14(d)(4) OF THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 5) Applied Genetic Technologies Corporation (Name of Subject Company) Applied Genetic Technologies Corporation (Name of Person(s) Filing Statement) Common Stock, par v

*REMINDER* AGTC Urges Shareholders to Tender Their Shares by November 28, 2022 *REMINDER*

EX-99.1 Exhibit 99.1 *REMINDER* AGTC Urges Shareholders to Tender Their Shares by November 28, 2022 *REMINDER* GAINESVILLE, Florida and CAMBRIDGE, Massachusetts, November 22, 2022 – Applied Genetic Technologies Corporation (Nasdaq: AGTC), President and Chief Executive Officer, Sue Washer, reminds AGTC stockholders: A Syncona Limited portfolio company has commenced a tender offer to purchase all ou

UNITED STATES 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): November 22, 2022 APPLIED GENETIC

UNITED STATES 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): November 22, 2022 APPLIED GENETIC TECHNOLOGIES CORPORATION (Exact Name of Registrant as Specified in Charter) Delaware 001-36370 59-3553710 (State or other jurisdiction of incorporati

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14D-9 (Rule 14d-101) SOLICITATION/RECOMMENDATION STATEMENT PURSUANT TO SECTION 14(d)(4) OF THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 4) Applied Genetic Technolo

SC 14D9/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14D-9 (Rule 14d-101) SOLICITATION/RECOMMENDATION STATEMENT PURSUANT TO SECTION 14(d)(4) OF THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 4) Applied Genetic Technologies Corporation (Name of Subject Company) Applied Genetic Technologies Corporation (Name of Person(s) Filing Statement) Common Stock, par v

Press Release issued by the Company, dated November 22, 2022.

EX-99.(a)(29) Exhibit (a)(29) *REMINDER* AGTC Urges Shareholders to Tender Their Shares by November 28, 2022 *REMINDER* GAINESVILLE, Florida and CAMBRIDGE, Massachusetts, November 22, 2022 – Applied Genetic Technologies Corporation (Nasdaq: AGTC), President and Chief Executive Officer, Sue Washer, reminds AGTC stockholders: A Syncona Limited portfolio company has commenced a tender offer to purcha

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2022 OR ☐ TRANSITION REP

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2022 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-36370 APPLIED GENETIC TECHNOLOGIES CORPORATION (Exact Name of Registrant as Specified in Its Charter) Delaware 59-3553710 (State or Other Jurisdiction of Incorporation or Organization) (I.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14D-9 (Rule 14d-101) SOLICITATION/RECOMMENDATION STATEMENT PURSUANT TO SECTION 14(d)(4) OF THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 3) Applied Genetic Technolo

SC 14D9/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14D-9 (Rule 14d-101) SOLICITATION/RECOMMENDATION STATEMENT PURSUANT TO SECTION 14(d)(4) OF THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 3) Applied Genetic Technologies Corporation (Name of Subject Company) Applied Genetic Technologies Corporation (Name of Person(s) Filing Statement) Common Stock, par v

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14D-9 (Rule 14d-101) SOLICITATION/RECOMMENDATION STATEMENT PURSUANT TO SECTION 14(d)(4) OF THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 2) Applied Genetic Technolo

SC 14D9/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14D-9 (Rule 14d-101) SOLICITATION/RECOMMENDATION STATEMENT PURSUANT TO SECTION 14(d)(4) OF THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 2) Applied Genetic Technologies Corporation (Name of Subject Company) Applied Genetic Technologies Corporation (Name of Person(s) Filing Statement) Common Stock, par v

Twitter Post linking to letter from Susan B. Washer, dated November 14, 2022.

Exhibit (a)(28) On November 14, 2022, Applied Genetics Technologies Corporation (the ?Company?) made the following announcement via Twitter regarding the cash tender offer (the ?Offer?) by Alliance Acquisition Sub, Inc.

Facebook Post linking to letter from Susan B. Washer, dated November 14, 2022.

EX-99.(a)(26) Exhibit (a)(26) On November 14, 2022, Applied Genetics Technologies Corporation (the “Company”) made the following announcement via Facebook regarding the cash tender offer (the “Offer”) by Alliance Acquisition Sub, Inc. (the “Purchaser”), a Delaware Corporation and wholly-owned subsidiary of Alliance Holdco Limited (the “Parent”), a private limited company organized under the laws o

Letter to stockholders of the Company, dated November 14, 2022, from Susan B. Washer, President, Chief Executive Officer and a Director of the Company.

EX-99.(a)(24) Exhibit (a)(24) ***ACTION REQUIRED REGARDING YOUR AGTC STOCK*** Dear AGTC Stockholder: A Syncona Limited portfolio company has commenced a tender offer to purchase all outstanding shares of AGTC common stock at a price per share of $0.34 in cash plus the right for AGTC stockholders to receive additional aggregate payments of up to $0.73 per share upon the achievement of specified mil

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING (Check One): ☐ Form 10-K ☐ Form 20-F ☐ Form 11-K ☒ Form 10-Q ☐ Form 10-D ☐ Form N-CEN ☐ Form N-CSR For Period Ended: September 30, 2022 ☐

NT 10-Q SEC FILE NUMBER: 001-36370 CUSIP NUMBER: 03820J100 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.

Press Release issued by the Company, dated November 14, 2022.

EX-99.(A)(25) Exhibit (a)(25) Applied Genetic Technologies Corporation Urges Shareholders to Tender Their Shares by November 28, 2022 GAINESVILLE, Florida and CAMBRIDGE, Massachusetts, November 14, 2022 – Applied Genetic Technologies Corporation (Nasdaq: AGTC), President and Chief Executive Officer, Sue Washer, sent the following letter to stockholders: A Syncona Limited portfolio company has comm

LinkedIn Post linking to letter from Susan B. Washer, dated November 14, 2022.

Exhibit (a)(27) On November 14, 2022, Applied Genetics Technologies Corporation (the ?Company?) made the following announcement via LinkedIn regarding the cash tender offer (the ?Offer?) by Alliance Acquisition Sub, Inc.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE TO TENDER OFFER STATEMENT UNDER SECTION 14(D)(1) OR 13(E)(1) OF THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 1) Applied Genetic Technologies Corporation (Name of S

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE TO TENDER OFFER STATEMENT UNDER SECTION 14(D)(1) OR 13(E)(1) OF THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 1) Applied Genetic Technologies Corporation (Name of Subject Company (Issuer)) Alliance Acquisition Sub, Inc. Alliance Holdco Limited Syncona Portfolio Limited (Offerors) Syncona Investment Management Lim

AGTC / Applied Genetic Technologies Corp / Beryl Capital Management LLC Passive Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Applied Genetic Technologies Corporation (Name of Issuer) Common Stock, par value $0.001 (Title of Class of Securities) 03820J100 (CUSIP Number) October 25, 2022 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designat

Press release issued by the Company, dated November 3, 2022.

EX-99.(A)(20) Exhibit (a)(20) Applied Genetic Technologies Corporation Reminds Shareholders to Tender Their Shares by November 28, 2022 GAINESVILLE, Florida and CAMBRIDGE, Massachusetts, November 3, 2022 – Applied Genetic Technologies Corporation (Nasdaq: AGTC), President and Chief Executive Officer, Sue Washer, sent the following letter to shareholders: On October 23, 2022, we announced that AGTC

Questions and Answers distributed by the Company to clinical trial participants on November 3, 2022.

EX-99.(A)(18) Exhibit (a)(18) Communication with Clinicians, Surgeons, DSMB Members, KOLs and Patients 1. What was announced? Syncona Limited (“Syncona”) and Applied Genetic Technologies Corporation (“AGTC”) announced that they entered into a definitive agreement pursuant to which a newly established portfolio company of Syncona has commenced a tender offer to acquire all of the outstanding shares

Letter to stockholders of the Company, dated November 3, 2022, from Susan B. Washer, President, Chief Executive Officer and a Director of the Company.

EX-99.(A)(19) Exhibit (a)(19) To Our Valued Stockholders: On October 23, 2022, we announced that AGTC entered into a definitive agreement, pursuant to which a portfolio company of Syncona Limited has commenced a tender offer to purchase all of the outstanding shares of common stock of AGTC. Syncona is a leading, well-financed healthcare company focused on founding, building, and funding global lea

Twitter Post linking to letter from Susan B. Washer, dated November 3, 2022.

EX-99.(A)(23) Exhibit (a)(23) On November 3, 2022, Applied Genetics Technologies Corporation (the “Company”) made the following announcement via Twitter regarding the cash tender offer (the “Offer”) by Alliance Acquisition Sub, Inc. (the “Purchaser”), a Delaware Corporation and wholly-owned subsidiary of Alliance Holdco Limited (the “Parent”), a private limited company organized under the laws of

LinkedIn Post linking to letter from Susan B. Washer, dated November 3, 2022.

EX-99.(A)(22) Exhibit (a)(22) On November 3, 2022, Applied Genetics Technologies Corporation (the “Company”) made the following announcement via LinkedIn regarding the cash tender offer (the “Offer”) by Alliance Acquisition Sub, Inc. (the “Purchaser”), a Delaware Corporation and wholly-owned subsidiary of Alliance Holdco Limited (the “Parent”), a private limited company organized under the laws of

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14D-9 (Rule 14d-101) SOLICITATION/RECOMMENDATION STATEMENT PURSUANT TO SECTION 14(d)(4) OF THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 1) Applied Genetic Technolo

SC 14D9/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14D-9 (Rule 14d-101) SOLICITATION/RECOMMENDATION STATEMENT PURSUANT TO SECTION 14(d)(4) OF THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 1) Applied Genetic Technologies Corporation (Name of Subject Company) Applied Genetic Technologies Corporation (Name of Person(s) Filing Statement) Common Stock, par v

Facebook Post linking to letter from Susan B. Washer, dated November 3, 2022.

EX-99.(A)(21) Exhibit (a)(21) On November 3, 2022, Applied Genetics Technologies Corporation (the “Company”) made the following announcement via Facebook regarding the cash tender offer (the “Offer”) by Alliance Acquisition Sub, Inc. (the “Purchaser”), a Delaware Corporation and wholly-owned subsidiary of Alliance Holdco Limited (the “Parent”), a private limited company organized under the laws of

Form of Letter of Transmittal.

 Exhibit (a)(1)(B) Letter of Transmittal To Tender Shares of Common Stock of Applied Genetic Technologies Corporation a Delaware corporation at $0.

Form of Summary Advertisement, published October 26, 2022 in The New York Times.

Exhibit (a)(1)(F) This announcement is neither an offer to purchase nor a solicitation of an offer to sell Shares (as defined below).

Confidentiality Agreement, dated June 20, 2022, by and between the Company and Parent.

Exhibit (d)(2) MUTUAL CONFIDENTIALITY AND NON-DISCLOSURE AGREEMENT This Confidentiality and Non-Disclosure Agreement (this “Agreement”) is effective this 20th day of June, 2022 (the “Effective Date”) between Applied Genetic Technologies Corporation (“AGTC”), with offices at14193 NW 119th Terrace, Suite 10, Alachua, Florida, 32615, and Syncona Investment Management Limited (“COMPANY”), with offices at 8 Bloomsbury Street, London WC1B 3SR.

Equity Commitment Letter, dated as of October 23, 2022, by and between Syncona Portfolio and Parent.

Exhibit (d)(5) Between: Syncona Portfolio Limited (?Ultimate Parent?) Arnold House, PO Box 273 St Julian?s Avenue, St Peter Port Guernsey, GY1 3RD Channel Islands and: Alliance Holdco Limited (?Parent?) 8 Bloomsbury Street London, WC1B 3SR United Kingdom Dated: 23 October 2022 Equity Commitment Letter Reference is made to the Agreement and Plan of Merger, dated on or around the date of this Equity Commitment Letter (this ?Letter?), between Parent, Alliance Acquisition Sub, Inc.

Form of Notice of Guaranteed Delivery.

 Exhibit (a)(1)(C) Notice of Guaranteed Delivery For Tender of Shares of Common Stock of Applied Genetic Technologies Corporation a Delaware corporation at $0.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14D-9 (Rule 14d-101) SOLICITATION/RECOMMENDATION STATEMENT PURSUANT TO SECTION 14(d)(4) OF THE SECURITIES EXCHANGE ACT OF 1934 Applied Genetic Technologies Corporation (

SC 14D9 1 d384239dsc14d9.htm SC 14D9 Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14D-9 (Rule 14d-101) SOLICITATION/RECOMMENDATION STATEMENT PURSUANT TO SECTION 14(d)(4) OF THE SECURITIES EXCHANGE ACT OF 1934 Applied Genetic Technologies Corporation (Name of Subject Company) Applied Genetic Technologies Corporation (Name of Person(s) Filing Sta

Offer to Purchase, dated October 26, 2022.

TABLE OF CONTENTS  Exhibit (a)(1)(A) Offer to Purchase All Outstanding Shares of Common Stock of Applied Genetic Technologies Corporation At $0.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE TO TENDER OFFER STATEMENT UNDER SECTION 14(D)(1) OR 13(E)(1) OF THE SECURITIES EXCHANGE ACT OF 1934 Applied Genetic Technologies Corporation (Name of Subject Company (Is

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE TO TENDER OFFER STATEMENT UNDER SECTION 14(D)(1) OR 13(E)(1) OF THE SECURITIES EXCHANGE ACT OF 1934 Applied Genetic Technologies Corporation (Name of Subject Company (Issuer)) Alliance Acquisition Sub, Inc. Alliance Holdco Limited Syncona Portfolio Limited (Offerors) Syncona Investment Management Limited (Other Person

Filing Fee Table.

Exhibit 107 Calculation of Filing Fee Tables Schedule TO-T (Rule 14d-100) APPLIED GENETIC TECHNOLOGIES CORPORATION (Name of Subject Company (Issuer)) ALLIANCE ACQUISITION SUB, INC.

Form of Letter to Clients for Use by Brokers, Dealers, Commercial Banks, Trust Companies and Other Nominees.

 Exhibit (a)(1)(E) Offer to Purchase All Outstanding Shares of Common Stock of Applied Genetic Technologies Corporation a Delaware corporation at $0.

To Our Valued Stockholders:

EX-99.(a)(10) Exhibit (a)(10) To Our Valued Stockholders: On October 23, 2022, we announced that we had entered into a definitive agreement pursuant to which a newly established portfolio company of Syncona Limited (LON: SYNC), a leading healthcare company focused on founding, building and funding global leaders in life science, will acquire AGTC, through a tender offer, for approximately $23.5 mi

Joint Press Release issued by the Company and Syncona on October 26, 2022.

Exhibit (a)(5)(D) FOR IMMEDIATE RELEASE Syncona Commences Tender Offer for All Outstanding Shares of Applied Genetic Technologies Corporation October 26, 2022 GAINESVILLE, Fla.

Form of Letter to Brokers, Dealers, Commercial Banks, Trust Companies and Other Nominees.

 Exhibit (a)(1)(D) Offer to Purchase All Outstanding Shares of Common Stock of Applied Genetic Technologies Corporation a Delaware corporation at $0.

Tender and Support Agreement by and among the Parent, the Purchaser and certain holders of equity securities of the Company.

EX-10.2 5 d371149dex102.htm EX-10.2 Exhibit 10.2 TENDER AND SUPPORT AGREEMENT This TENDER AND SUPPORT AGREEMENT (this “Agreement”), dated as of October 23, 2022, is entered into by and among Alliance Holdco Limited, a private limited company organized under the laws of England and Wales (“Parent”), Alliance Acquisition Sub, Inc., a Delaware corporation and a wholly-owned Subsidiary of Parent (“Pur

Amendment to Amended and Restated Bylaws of the Company.

EX-3.1 Exhibit 3.1 FIRST AMENDMENT TO AMENDED AND RESTATED BYLAWS OF APPLIED GENETIC TECHNOLOGIES CORPORATION This Amendment to the Amended and Restated Bylaws of Applied Genetic Technologies Corporation, a Delaware corporation (the “Corporation”), is made effective as of October 23, 2022. Capitalized terms used in this Amendment but not defined herein shall have the meanings given to such terms i

Twitter Post linking to Company Press Release by the Company, dated October 24, 2022 (filed as Exhibit 99.3 hereto)

Exhibit 99.3 On October 24, 2022, Applied Genetics Technologies Corporation (the ?Company?) made the following announcement via Twitter regarding the planned cash tender offer (the ?Offer?) by Alliance Acquisition Sub, Inc. (the ?Purchaser?), a Delaware Corporation and wholly-owned subsidiary of Alliance Holdco Limited (?Parent?), a private limited company organized under the laws of England and W

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-K/A (Amendment No. 1)

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-K/A (Amendment No.

Facebook Post linking to Company Press Release by the Company, dated October 24, 2022 (filed as Exhibit 99.5 hereto)

EX-99.5 Exhibit 99.5 On October 24, 2022, Applied Genetics Technologies Corporation (the “Company”) made the following announcement via Facebook regarding the planned cash tender offer (the “Offer”) by Alliance Acquisition Sub, Inc. (the “Purchaser”), a Delaware Corporation and wholly-owned subsidiary of Alliance Holdco Limited (“Parent”), a private limited company organized under the laws of Engl

Internal Announcement and Frequently Asked Questions for Company Employees distributed to employees of the Company on October 24, 2022 (filed as Exhibit 99.2 hereto)

EX-99.2 Exhibit 99.2 Confidential CONFIDENTIAL – FOR INTERNAL USE ONLY Internal Announcement Frequently Asked Questions for Applied Genetic Technologies Corporation Employees 1. What was announced? Syncona Limited (“Syncona”) and Applied Genetic Technologies Corporation (“AGTC”) announced a definitive agreement pursuant to which a newly established portfolio company of Syncona will acquire AGTC fo

Syncona to Acquire Applied Genetic Technologies Corporation Upfront consideration in cash of $0.34 per share representing a premium of approximately 42% over AGTC’s closing stock price on October 21, 2022 Total consideration of up to $1.07, including

EX-99.1 Exhibit 99.1 Syncona to Acquire Applied Genetic Technologies Corporation Upfront consideration in cash of $0.34 per share representing a premium of approximately 42% over AGTC’s closing stock price on October 21, 2022 Total consideration of up to $1.07, including up to $0.73 per CVR, representing a premium of up to approximately 344% over AGTC’s closing stock price on October 21, 2022 AGTC

Agreement and Plan of Merger by and among the Parent, the Purchaser and the Company, dated October 23, 2022.

EX-2.1 Exhibit 2.1 Execution Version AGREEMENT AND PLAN OF MERGER among: ALLIANCE HOLDCO LIMITED a private limited company organized under the laws of England and Wales; ALLIANCE ACQUISITION SUB, INC., a Delaware corporation; and APPLIED GENETIC TECHNOLOGIES CORPORATION, a Delaware corporation Dated as of October 23, 2022 Table of Contents Page SECTION 1. DESCRIPTION OF TRANSACTION 2 1.1 The Offer

LinkedIn Post by the Company announcing Company and Parent joint investor conference call, dated October 24, 2022 (filed as Exhibit 99.8 hereto)

EX-99.8 Exhibit 99.8 On October 24, 2022, Applied Genetics Technologies Corporation (the “Company”) made the following announcement via LinkedIn regarding the planned cash tender offer (the “Offer”) by Alliance Acquisition Sub, Inc. (the “Purchaser”), a Delaware Corporation and wholly-owned subsidiary of Alliance Holdco Limited (“Parent”), a private limited company organized under the laws of Engl

Excerpted transcript of the Company's conference call on October 24, 2022.

Exhibit (a)(5)(c) The following is an excerpt from the script for the conference call that was held at 7:30 a.

UNITED STATES 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): October 23, 2022 APPLIED GENETIC

UNITED STATES 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): October 23, 2022 APPLIED GENETIC TECHNOLOGIES CORPORATION (Exact Name of Registrant as Specified in Charter) Delaware 001-36370 59-3553710 (State or other jurisdiction of incorporatio

Press Release, dated October 23, 2022, by Syncona.

Exhibit (a)(5)(b) Syncona Limited Syncona to acquire Applied Genetic Technologies Corporation (AGTC) 24 October 2022 · A newly established portfolio company of Syncona Limited will commence a tender offer to acquire all outstanding shares of AGTC for $0.

Press Release, dated October 23, 2022, by the Company.

Exhibit (a)(5)(a) Syncona to Acquire Applied Genetic Technologies Corporation Upfront consideration in cash of $0.

Transcript of joint investor conference call held on October 24, 2022 by the Company and Parent (filed as Exhibit 99.1 hereto)

EX-99.1 Exhibit 99.1 AGTC Conference Call Script Operator Good morning and welcome to the AGTC conference call. Today’s call is being recorded. Before we get started, I would like to remind everyone that during this conference call, AGTC may make forward-looking statements, including statements about the proposed transactions between subsidiaries of Syncona Limited and AGTC, the expected timeline

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE TO TENDER OFFER STATEMENT UNDER SECTION 14(D)(1) OR 13(E)(1) OF THE SECURITIES EXCHANGE ACT OF 1934 APPLIED GENETIC TECHNOLOGIES CORPORATION (Name of Subject Company (Is

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE TO TENDER OFFER STATEMENT UNDER SECTION 14(D)(1) OR 13(E)(1) OF THE SECURITIES EXCHANGE ACT OF 1934 APPLIED GENETIC TECHNOLOGIES CORPORATION (Name of Subject Company (Issuer)) ALLIANCE ACQUISITION SUB, INC. ALLIANCE HOLDCO LIMITED SYNCONA PORTFOLIO LIMITED (Offerors) SYNCONA INVESTMENT MANAGEMENT LIMITED (Other Person

LinkedIn Post linking to Company Press Release by the Company, dated October 24, 2022 (filed as Exhibit 99.7 hereto)

EX-99.7 Exhibit 99.7 On October 24, 2022, Applied Genetics Technologies Corporation (the “Company”) made the following announcement via LinkedIn regarding the planned cash tender offer (the “Offer”) by Alliance Acquisition Sub, Inc. (the “Purchaser”), a Delaware Corporation and wholly-owned subsidiary of Alliance Holdco Limited (“Parent”), a private limited company organized under the laws of Engl

Form of Contingent Value Rights Agreement, by and between Parent and the Rights Agent (incorporated herein by reference to Exhibit 10.1 to Form 8-K filed by the Company on October 24, 2022).

EX-10.1 Exhibit 10.1 CONTINGENT VALUE RIGHTS AGREEMENT This CONTINGENT VALUE RIGHTS AGREEMENT, dated as of [•], 2022 (this “Agreement”), is entered into by and between Alliance Holdco Limited, a private limited company organized under the laws of England and Wales (“Parent”), and Computershare Inc., a Delaware corporation (“Computershare”) and its affiliate Computershare Trust Company, N.A., a fed

Twitter Post by the Company announcing Company and Parent joint investor conference call, dated October 24, 2022 (filed as Exhibit 99.4 hereto)

EX-99.4 Exhibit 99.4 On October 24, 2022, Applied Genetics Technologies Corporation (the “Company”) made the following announcement via Twitter regarding the planned cash tender offer (the “Offer”) by Alliance Acquisition Sub, Inc. (the “Purchaser”), a Delaware Corporation and wholly-owned subsidiary of Alliance Holdco Limited (“Parent”), a private limited company organized under the laws of Engla

Facebook Post by the Company announcing Company and Parent joint investor conference call, dated October 24, 2022 (filed as Exhibit 99.6 hereto)

EX-99.6 Exhibit 99.6 On October 24, 2022, Applied Genetics Technologies Corporation (the “Company”) made the following announcement via Facebook regarding the planned cash tender offer (the “Offer”) by Alliance Acquisition Sub, Inc. (the “Purchaser”), a Delaware Corporation and wholly-owned subsidiary of Alliance Holdco Limited (“Parent”), a private limited company organized under the laws of Engl

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14D-9 (Rule 14d-101) SOLICITATION/RECOMMENDATION STATEMENT PURSUANT TO SECTION 14(d)(4) OF THE SECURITIES EXCHANGE ACT OF 1934 Applied Genetic Technologies Corporation (

SC14D9C UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14D-9 (Rule 14d-101) SOLICITATION/RECOMMENDATION STATEMENT PURSUANT TO SECTION 14(d)(4) OF THE SECURITIES EXCHANGE ACT OF 1934 Applied Genetic Technologies Corporation (Name of Subject Company) Applied Genetic Technologies Corporation (Name of Person(s) Filing Statement) Common Stock, par value $0.001 per shar

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Fiscal Year Ended June 30, 2022 OR ☐ TRANSITION REPORT PURSUAN

Table of Contents Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.

Power of attorney (included on signature page of this Registration Statement). Filed herewith.

As filed with the Securities and Exchange Commission on September 27, 2022 Registration No.

Filing Fee Table. Filed herewith.

EXHIBIT 107 Calculation Of Filing Fee Tables Form S-8 (Form Type) Applied Genetic Technologies Corporation (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered Securities Security Type Security Class Title Fee Calculation Rule Amount Registered(1) Proposed Maximum Offering Price Per Share(2) Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Equity Common stock, $0.

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

UNITED STATES 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): August 23, 2022 APPLIED GENETIC TECHNOLOGIES CORPORATION (Exact Name of Registrant as Specified in Charter) Delaware 001-36370 59-3553710 (State or other jurisdiction of incorporation

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

UNITED STATES 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): August 8, 2022 APPLIED GENETIC TECHNOLOGIES CORPORATION (Exact Name of Registrant as Specified in Charter) Delaware 001-36370 59-3553710 (State or other jurisdiction of incorporation)

AGTC Announces Pricing of $10 Million Underwritten Public Offering

Exhibit 99.2 AGTC Announces Pricing of $10 Million Underwritten Public Offering GAINESVILLE, Fla., and CAMBRIDGE, Mass., July 12, 2022 ? Applied Genetic Technologies Corporation (?AGTC? or the ?Company?) (Nasdaq: AGTC), a clinical-stage biotechnology company focused on the development and commercialization of adeno-associated virus (AAV)-based gene therapies for the treatment of rare and debilitat

16,075,000 Shares of Common Stock Pre-funded Warrants to Purchase up to 591,667 Shares of Common Stock Common Warrants to Purchase up to 16,666,667 Shares of Common Stock Applied Genetic Technologies Corporation

424B5 1 d378148d424b5.htm 424B5 Table of Contents Filed Pursuant to Rule 424(b)(5) Registration No. 333-255008 PROSPECTUS SUPPLEMENT TO PROSPECTUS DATED APRIL 12, 2021 16,075,000 Shares of Common Stock Pre-funded Warrants to Purchase up to 591,667 Shares of Common Stock Common Warrants to Purchase up to 16,666,667 Shares of Common Stock Applied Genetic Technologies Corporation We are offering 16,0

Form of Common Warrant

EX-4.1 3 d240412dex41.htm EX-4.1 Exhibit 4.1 COMMON STOCK PURCHASE WARRANT APPLIED GENETIC TECHNOLOGIES CORPORATION Warrant Shares: Initial Exercise Date: July 15, 2022 THIS COMMON STOCK PURCHASE WARRANT (the “Warrant”) certifies that, for value received, or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, a

AGTC Announces Proposed Underwritten Public Offering

Exhibit 99.1 AGTC Announces Proposed Underwritten Public Offering GAINESVILLE, Fla., and CAMBRIDGE, Mass., July 12, 2022 ? Applied Genetic Technologies Corporation (?AGTC? or the ?Company?) (Nasdaq: AGTC), a clinical-stage biotechnology company focused on the development and commercialization of adeno-associated virus (AAV)-based gene therapies for the treatment of rare and debilitating diseases w

Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Other Events

UNITED STATES 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): July 12, 2022 APPLIED GENETIC TECHNOLOGIES CORPORATION (Exact Name of Registrant as Specified in Charter) Delaware 001-36370 59-3553710 (State or other jurisdiction of incorporation)

Form of Pre-Funded Warrant

Exhibit 4.2 PRE-FUNDED COMMON STOCK PURCHASE WARRANT APPLIED GENETIC TECHNOLOGIES CORPORATION Warrant Shares: Initial Exercise Date: July 15, 2022 THIS PRE-FUNDED COMMON STOCK PURCHASE WARRANT (the ?Warrant?) certifies that, for value received, or its assigns (the ?Holder?) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time

Underwriting Agreement, dated July 12, 2022, by and between Applied Genetic Technologies Corporation and H.C. Wainwright & Co., LLC

EX-1.1 2 d240412dex11.htm EX-1.1 Exhibit 1.1 16,075,000 SHARES OF COMMON STOCK 16,666,667 COMMON WARRANTS (EXERCISABLE FOR 16,666,667 WARRANT SHARES) AND 591,667 PRE-FUNDED WARRANTS (EXERCISABLE FOR 591,667 WARRANT SHARES) OF APPLIED GENETIC TECHNOLOGIES CORPORATION UNDERWRITING AGREEMENT July 12, 2022 H.C. Wainwright & Co., LLC As the Representative of the Several underwriters, if any, named in S

SUBJECT TO COMPLETION, DATED JULY 12, 2022

Table of Contents The information in this preliminary prospectus supplement and the accompanying prospectus is not complete and may be changed.

Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing

UNITED STATES 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 7, 2022 APPLIED GENETIC TECHNOLOGIES CORPORATION (Exact Name of Registrant as Specified in Charter) Delaware 001-36370 59-3553710 (State or other jurisdiction of incorporation) (

Regulation FD Disclosure, Financial Statements and Exhibits

UNITED STATES 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): May 16, 2022 APPLIED GENETIC TECHNOLOGIES CORPORATION (Exact Name of Registrant as Specified in Charter) Delaware 001-36370 59-3553710 (State or other jurisdiction of incorporation) (

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2022 OR ☐ TRANSITION REPORT

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2022 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-36370 APPLIED GENETIC TECHNOLOGIES CORPORATION (Exact Name of Registrant as Specified in Its Charter) Delaware 59-3553710 (State or Other Jurisdiction of Incorporation or Organization) (I.

AGTC Announces Positive Three-Month Interim Results from Skyline Trial of AGTC-501 for the Treatment of X-Linked Retinitis Pigmentosa – 62.5% of Patients in Dose Group B Were Responders for Improvements in Visual Sensitivity, the Study’s Primary Effi

Exhibit 99.1 AGTC Announces Positive Three-Month Interim Results from Skyline Trial of AGTC-501 for the Treatment of X-Linked Retinitis Pigmentosa ? 62.5% of Patients in Dose Group B Were Responders for Improvements in Visual Sensitivity, the Study?s Primary Efficacy Endpoint ? ? Continued Strong Safety Data ? ? Robust Safety and Efficacy Data Consistent with Previously Reported Results from the P

This presentation contains forward-looking statements that reflect AGTC's plans, estimates and beliefs, including statements regarding the potential of the company’s gene therapy platform and the strength of interim results from the Skyline Trial in

Exhibit 99.2 May 2022 This presentation contains forward-looking statements that reflect AGTC's plans, estimates and beliefs, including statements regarding the potential of the company?s gene therapy platform and the strength of interim results from the Skyline Trial in XLRP, the potential of AGTC-501 as a treatment for XLRP, the ability to use the interim Skyline results as a predictor of the su

Entry into a Material Definitive Agreement, Financial Statements and Exhibits

UNITED STATES 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): May 3, 2022 APPLIED GENETIC TECHNOLOGIES CORPORATION (Exact Name of Registrant as Specified in Charter) Delaware 001-36370 59-3553710 (State or other jurisdiction of incorporation) (C

First Amendment to Lease, dated as of May 3, 2022, by and between Applied Genetic Technologies Corporation and Alachua Foundation Park Holding Company II, LLC.

Exhibit 1.1 FIRST AMENDMENT TO LEASE THIS FIRST AMENDMENT TO LEASE (?First Amendment?) dated this 3rd day of May, 2022 (the ?First Amendment Effective Date?) is by and between ALACHUA FOUNDATION PARK HOLDING COMPANY II, LLC, a Florida limited liability company (?Landlord?) and APPLIED GENETICS TECHNOLOGIES CORPORATION, a Delaware corporation (?Tenant?) (together, the ?Parties?). W I T N E S S E T

AGTC Announces Pricing of Public Offering of Common Stock

Exhibit 99.2 AGTC Announces Pricing of Public Offering of Common Stock GAINESVILLE, Fla., and CAMBRIDGE, Mass., March 22, 2022 ? Applied Genetic Technologies Corporation (Nasdaq: AGTC), a clinical-stage biotechnology company focused on the development and commercialization of adeno-associated virus (AAV)-based gene therapies for the treatment of rare and debilitating diseases with an initial focus

7,500,000 Shares of Common Stock Applied Genetic Technologies Corporation

Table of Contents Filed Pursuant to Rule 424(b)(5) Registration No. 333-255008 PROSPECTUS SUPPLEMENT TO PROSPECTUS DATED APRIL 12, 2021 7,500,000 Shares of Common Stock Applied Genetic Technologies Corporation We are offering 7,500,000 shares of our common stock, par value $0.001 per share, pursuant to this prospectus supplement and the accompanying prospectus. Our common stock is listed on the Na

Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Other Events

UNITED STATES 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): March 22, 2022 APPLIED GENETIC TECHNOLOGIES CORPORATION (Exact Name of Registrant as Specified in Charter) Delaware 001-36370 59-3553710 (State or other jurisdiction of incorporation)

AGTC Announces Proposed Public Offering of Common Stock

Exhibit 99.1 AGTC Announces Proposed Public Offering of Common Stock GAINESVILLE, Fla., and CAMBRIDGE, Mass., March 21, 2022 ? Applied Genetic Technologies Corporation (Nasdaq: AGTC), a clinical-stage biotechnology company focused on the development and commercialization of adeno-associated virus (AAV)-based gene therapies for the treatment of rare and debilitating diseases with an initial focus o

Underwriting Agreement, dated March 22, 2022, by and between Applied Genetic Technologies Corporation and Cantor Fitzgerald & Co.

Exhibit 1.1 APPLIED GENETIC TECHNOLOGIES CORPORATION 7,500,000 Shares of Common Stock UNDERWRITING AGREEMENT Dated: March 22, 2022 Table of Contents Page SECTION 1. Representations and Warranties 1 SECTION 2. Sale and Delivery to the Underwriter; Closing 14 SECTION 3. Covenants of the Company 15 SECTION 4. Payment of Expenses 18 SECTION 5. Conditions of Underwriter?s Obligations 19 SECTION 6. Inde

SUBJECT TO COMPLETION, DATED MARCH 21, 2022

Table of Contents Filed Pursuant to Rule 424(b)(5) Registration No. 333-255008 The information in this preliminary prospectus supplement and the accompanying prospectus is not complete and may be changed. This preliminary prospectus supplement and the accompanying prospectus are not an offer to sell these securities and are not soliciting an offer to buy these securities in any jurisdiction where

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

UNITED STATES 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): February 25, 2022 APPLIED GENETIC TECHNOLOGIES CORPORATION (Exact Name of Registrant as Specified in Charter) Delaware 001-36370 59-3553710 (State or other jurisdiction of incorporati

AGTC / Applied Genetic Technologies Corp / Portolan Capital Management, LLC - SC 13G Passive Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d ?1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d?2. (Amendment No. )* APPLIED GENETIC TECHNOLOGIES CORPORATION (Name of Issuer) Common (Title of Class of Securities) 03820J100 (CUSIP Number) February 11, 2022 (Date of Event W

AGTC / Applied Genetic Technologies Corp / INTERWEST PARTNERS VIII LP - SC 13G/A Passive Investment

OMB APPROVAL OMB Number: 3235-0145 Expires: February 28, 2010 Estimated average burden hours per response 10.

Joint Filing Statement

EX-99.A 2 d82338dex99a.htm 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, 2022 By: /s/ Gilbert H. Kliman INTERWEST PARTNERS VIII, LP Name: Gilbert H. Kliman By: InterWest Management Partners VIII, LLC its General Partner By: /s/ Gilbert H. Kliman INTERWEST MANAGEMENT PART

Employment Agreement, dated November 6, 2021, by and between the Company and Hope R. D’Oyley-Gay

EX-10.3 2 d284240dex103.htm EX-10.3 Exhibit 10.3 EMPLOYMENT AGREEMENT THIS EMPLOYMENT AGREEMENT (this “Agreement”) is entered into as of the 6th day of November, 2021 by and between Applied Genetic Technologies Corporation, a Delaware corporation, including its successors and assigns, (the “Employer” or “Company”), and Hope R. D’Oyley-Gay (“Executive”). NOW, THEREFORE, in consideration of the prom

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES 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): February 14, 2022 APPLIED GENETIC TECHNOLOGIES CORPORATION (Exact Name of Registrant as Specified in Charter) Delaware 001-36370 59-3553710 (State or other jurisdiction of incorporati

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended December 31, 2021 OR ☐ TRANSITION REPO

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended December 31, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 001-36370 APPLIED GENETIC TECHNOLOGIES CORPORATION (Exact Name of Registrant as Specified in Its Charter) Delaware 59-3553710 (State or Other Jurisdiction of Incorporation or Organization) (I.

Employment Agreement, dated November 15, 2021, by and between the Company and Abraham Scaria

Exhibit 10.4 EMPLOYMENT AGREEMENT THIS EMPLOYMENT AGREEMENT (this ?Agreement?) is entered into as of the 15th day of November, 2021 by and between Applied Genetic Technologies Corporation, a Delaware corporation, including its successors and assigns, (?Employer? or the ?Company?), and Abraham Scaria (?Executive?). NOW, THEREFORE, in consideration of the promises and the respective undertakings of

AGTC Announces Financial Results and Business Update for the Quarter Ended December 31, 2021 -Company on track to provide 3-month interim SKYLINE trial results in 2Q 2022- -Company to host management update and webcast today at 8:00 a.m. ET-

Exhibit 99.1 AGTC Announces Financial Results and Business Update for the Quarter Ended December 31, 2021 -Company on track to provide 3-month interim SKYLINE trial results in 2Q 2022- -Company to host management update and webcast today at 8:00 a.m. ET- GAINESVILLE, Fla. and CAMBRIDGE, Mass., February 14, 2022 ? Applied Genetic Technologies Corporation (Nasdaq: AGTC), a clinical stage biotechnolo

AGTC / Applied Genetic Technologies Corp / Portolan Capital Management, LLC - SC 13G/A Passive Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d ?1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d?2. (Amendment No. 2 )* APPLIED GENETIC TECHNOLOGIES CORPORATION (Name of Issuer) Common (Title of Class of Securities) 03820J100 (CUSIP Number) December 31, 2021 (Date of Event

AGTC / Applied Genetic Technologies Corp / Stonepine Capital Management, LLC Passive Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* Applied Genetic Technologies Corporation (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 03820J100 (CUSIP Number) December 31, 2021 (Date of Event Which Requires Filing of this Statement) Check the appropriate box

ACHM Phase 1/2 Clinical Trial:

Exhibit 99.2 ACHM Phase 1/2 Clinical Trial: 3-month pediatric data analysis Forward-Looking Statements This release contains forward-looking statements that reflect AGTC?s plans, estimates, assumptions and beliefs, including statements about the potential of the Company?s late-stage development program in Achromatopsia (ACHM), including the potential for the clinical development of AGTC-401 at the

AGTC Announces Robust Improvements in Visual Sensitivity in Adult and Pediatric Patients, and Plans to Continue Clinical Development of

Exhibit 99.1 AGTC Announces Robust Improvements in Visual Sensitivity in Adult and Pediatric Patients, and Plans to Continue Clinical Development of AGTC-401 in Patients with CNGB3 Achromatopsia February 8, 2022, at 7:00 a.m. EDT ? AGTC-401 demonstrated a favorable safety profile through second-highest dose (1.1E+12 vg/mL) in ACHMB3 pediatric patients ? At the dose of 1.1E+12 vg/mL greater than 50

Regulation FD Disclosure, Financial Statements and Exhibits

UNITED STATES 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): February 8, 2022 APPLIED GENETIC TECHNOLOGIES CORPORATION (Exact Name of Registrant as Specified in Charter) Delaware 001-36370 59-3553710 (State or other jurisdiction of incorporatio

AGTC / Applied Genetic Technologies Corp / Empery Asset Management, LP - APPLIED GENETIC TECHNOLOGIES CORP Passive Investment

SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* Applied Genetic Technologies Corporation (Name of Issuer) Common Stock, par value $0.001 (Title of Class of Securities) 03820J100 (CUSIP Number) December 31, 2021 (Date of event which requires filing of this statement) Check the appropriate box to designate the rule p

Financial Statements and Exhibits, Other Events

UNITED STATES 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): January 11, 2022 APPLIED GENETIC TECHNOLOGIES CORPORATION (Exact Name of Registrant as Specified in Charter) Delaware 001-36370 59-3553710 (State or other jurisdiction of incorporatio

AGTC Exceeds Enrollment Target in SKYLINE Trial of

Exhibit 99.1 AGTC Exceeds Enrollment Target in SKYLINE Trial of AGTC-501 for the Treatment of X-linked Retinitis Pigmentosa (XLRP) January 11, 2022, at 8:00 AM ET ? Company on track to report three-month interim study results, including visual acuity, visual sensitivity, mobility and safety data, in Q2 2022 ? Company providing further updated guidance on other milestones GAINESVILLE, Fla., and CAM

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits, Submission of Matters to a Vote of Security Holders

UNITED STATES 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): November 30, 2021 APPLIED GENETIC TECHNOLOGIES CORPORATION (Exact Name of Registrant as Specified in Charter) Delaware 001-36370 59-3553710 (State or other jurisdiction of incorporati

AGTC Appoints Biopharmaceutical Industry Leader James Robinson to its Board of Directors

Exhibit 99.1 AGTC Appoints Biopharmaceutical Industry Leader James Robinson to its Board of Directors December 6, 2021, at 8:00 AM ET - Robinson?s expertise in development and commercialization adds to the clinical and commercial experience of newly appointed management team GAINESVILLE, Fla., and CAMBRIDGE, Mass., Dec. 6, 2021 (GLOBE NEWSWIRE) ? Applied Genetic Technologies Corporation (Nasdaq: A

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A (Amendment No. 1) CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 8, 2021 APPLIED GENETIC TECHNOLOGIES CORPORATION (Exact Name of Registrant as Specified in Charter) Delaware 001-36370 59-3553710 (State or other jurisdi

Employment Agreement, dated November 9, 2021, by and between the Company and Jonathan Lieber (incorporated by reference to Exhibit 10.1 to the Company’s Current Report on Form 8-K/A filed with the SEC on November 12, 2021 (File No. 001-36370))

Exhibit 10.1 EMPLOYMENT AGREEMENT THIS EMPLOYMENT AGREEMENT (this ?Agreement?) is entered into as of the 9th day of November, 2021 by and between Applied Genetic Technologies Corporation, a Delaware corporation, including its successors and assigns, (?Employer? or the ?Company?), and Jon Lieber (?Executive?) with an effective date of September 20, 2021. NOW, THEREFORE, in consideration of the prom

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2021 OR ☐ TRANSITION REP

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 001-36370 APPLIED GENETIC TECHNOLOGIES CORPORATION (Exact Name of Registrant as Specified in Its Charter) Delaware 59-3553710 (State or Other Jurisdiction of Incorporation or Organization) (I.

AGTC Announces Financial Results and Business Update for the Quarter Ended September 30, 2021 -Company on track to provide multiple data readouts for XLRP and ACHM clinical programs in 2021 and 2022- -Company to host management update and webcast tod

Exhibit 99.1 AGTC Announces Financial Results and Business Update for the Quarter Ended September 30, 2021 -Company on track to provide multiple data readouts for XLRP and ACHM clinical programs in 2021 and 2022- -Company to host management update and webcast today at 8:00 a.m. ET- GAINESVILLE, Fla. and CAMBRIDGE, Mass., Nov. 9, 2021 ? Applied Genetic Technologies Corporation (Nasdaq: AGTC), a bio

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES 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): November 9, 2021 APPLIED GENETIC TECHNOLOGIES CORPORATION (Exact Name of Registrant as Specified in Charter) Delaware 001-36370 59-3553710 (State or other jurisdiction of incorporatio

Definitive Proxy Statement

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Defi

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definitive Proxy State

Employment Agreement, dated as of October 14, 2021, by and between the Company and Susan Schneider.

Exhibit 10.1 EMPLOYMENT AGREEMENT THIS EMPLOYMENT AGREEMENT (this ?Agreement?) is entered into as of the 14th day of October, 2021 by and between Applied Genetic Technologies Corporation, a Delaware corporation, including its successors and assigns, (?Employer? or the ?Company?), and Susan Schneider (?Executive?). NOW, THEREFORE, in consideration of the promises and the respective undertakings of

Regulation FD Disclosure, Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits

UNITED STATES 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): October 14, 2021 APPLIED GENETIC TECHNOLOGIES CORPORATION (Exact Name of Registrant as Specified in Charter) Delaware 001-36370 59-3553710 (State or other jurisdiction of incorporatio

AGTC Announces Two Key Leadership Team Appointments

Exhibit 99.1 AGTC Announces Two Key Leadership Team Appointments October 14, 2021 at 5:00 PM EDT - AGTC Welcomes Susan Schneider as the Chief Medical Officer and Sarah C. DiSalvatore as the Vice President of Clinical Operations - GAINESVILLE, Fla., and CAMBRIDGE, Mass., Oct. 14, 2021 (GLOBE NEWSWIRE) - - Applied Genetic Technologies Corporation (Nasdaq: AGTC), a biotechnology company conducting hu

First Amendment to Employment Agreement dated as of May 14, 2021 by and between Applied Genetic Technologies Corporation and William A. Sullivan

Exhibit 10.41 FIRST AMENDMENT TO EMPLOYMENT AGREEMENT (William A. Sullivan) THIS FIRST AMENDMENT AGREEMENT TO EMPLOYMENT AGREEMENT (this ?First Amendment?) is entered into as of the 14th day of May 2021 by and between Applied Genetic Technologies Corporation, a Delaware corporation, including its successors and assigns (the ?Employer? or ?Company?) and William A. Sullivan (?Executive?). WHEREAS, t

Second Amendment to Office Lease Agreement made as of November 9, 2017 by and between Alachua Foundation Park Holding Company, LLC and Applied Genetic Technologies Corporation (incorporated by reference to Exhibit 10.3 to the Company’s Annual Report on Form 10-K for the year ended June 30, 2021 (File No. 001-36370))

Exhibit 10.3 SECOND AMENDMENT TO OFFICE LEASE AGREEMENT THIS SECOND AMENDMENT TO OFFICE LEASE AGREEMENT (?Amendment?) dated this 9th day of November, 2017, is by and between ALACHUA FOUNDATION PARK HOLDING COMPANY, LLC, a Florida Limited Liability Company (?Landlord?) and APPLIED GENETIC TECHNOLOGIES CORPORATION, a Delaware corporation (?Tenant?). W I T N E S S E T H: A. Landlord and Tenant are pa

Amendment to Office Lease Agreement made as of October 1, 2016 by and between Alachua Foundation Park Holding Company, LLC and Applied Genetic Technologies Corporation (incorporated by reference to Exhibit 10.2 to the Company’s Annual Report on Form 10-K for the year ended June 30, 2021 (File No. 001-36370))

Exhibit 10.2 AMENDMENT TO OFFICE LEASE AGREEMENT THIS AMENDMENT TO OFFICE LEASE AGREEMENT (?Amendment?) dated this 20 day of DECEMBER, 2016, but deemed effective as of October 1, 2016, is by and between ALACHUA FOUNDATION PARK HOLDING COMPANY, LLC, a Florida Limited Liability Company (?Landlord?) and APPLIED GENETIC TECHNOLOGIES CORPORATION, a Delaware corporation (?Tenant?). W I T N E S S E T H:

Forward-Looking Statements This presentation contains forward-looking statements that reflect AGTC's plans, estimates, assumptions and beliefs. Forward-looking statements include statements regarding the company’s (i) clinical and pre-clinical progra

2021 Year End Financial Results Call September 23, 2021 Exhibit 99.2 Forward-Looking Statements This presentation contains forward-looking statements that reflect AGTC's plans, estimates, assumptions and beliefs. Forward-looking statements include statements regarding the company?s (i) clinical and pre-clinical programs, including the anticipated timelines for reporting data in the XLRP Phase 2/3

As filed with the Securities and Exchange Commission on September 23, 2021

As filed with the Securities and Exchange Commission on September 23, 2021 Registration No.

Lease, dated as of May 13, 2021, between Alachua Foundation Park Holding Company II, LLC and Applied Genetic Technologies Corporation (incorporated by reference to Exhibit 10.40 to the Company’s Annual Report on Form 10-K for the year ended June 30, 2021 (File No. 001-36370))

Exhibit 10.40 LEASE [Foundation Park] THIS LEASE (this ?Lease?) is made as of May 13, 2021 (the ?Effective Date?) between ALACHUA FOUNDATION PARK HOLDING COMPANY II, LLC, a Florida limited liability company, with its office at 3324 W. University Avenue, PMB #151, Gainesville, Florida 32607 (?Landlord?), and APPLIED GENETIC TECHNOLOGIES CORPORATION, a Delaware corporation, whose address is Suite 10

Regulation FD Disclosure, Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES 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): September 23, 2021 APPLIED GENETIC TECHNOLOGIES CORPORATION (Exact Name of Registrant as Specified in Charter) Delaware 001-36370 59-3553710 (State or other jurisdiction of incorporat

Form of Restricted Stock Unit Agreement (providing for required sale) under the 2013 Equity and Incentive Plan (incorporated by reference to Exhibit 10.28 to the Company’s Annual Report on Form 10-K for the year ended June 30, 2021 (File No. 001-36370))

Exhibit 10.28 RESTRICTED STOCK UNIT AGREEMENT Granted by Applied Genetic Technologies Corporation Under the 2013 Equity and Incentive Plan Applied Genetic Technologies Corporation (the ?Company?) hereby grants to the person named below (the ?Recipient?) restricted stock units (?Restricted Stock Units?), with each such unit representing the right to receive one share of the Company?s common stock,

AGTC Provides Financial Results for the Fourth Quarter and Year Ended June 30, 2021 -Data from ongoing clinical trials in XLRP and ACHM shows evidence of clinical activity and tolerability; multiple data readouts expected in 2021 and 2022- -Pre-Clini

Exhibit 99.1 AGTC Provides Financial Results for the Fourth Quarter and Year Ended June 30, 2021 -Data from ongoing clinical trials in XLRP and ACHM shows evidence of clinical activity and tolerability; multiple data readouts expected in 2021 and 2022- -Pre-Clinical programs moving to IND enabling animal studies- -Company adds experienced industry veterans to board and management team- -Company to

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-K

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-K (Mark One) ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Fiscal Year Ended June 30, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 001-36370 APPLIED GENETIC TECHNOLOGIES CORPORATION (Exact Name of Registrant as Specified in Its Charter) Delaware 59-3553710 (State or Other Jurisdiction of Incorporation or Organization) (I.

First Amendment to Loan and Security Agreement, dated as of May 13, 2021, by and among Applied Genetic Technologies Corporation, the several banks and other financial institutions or entities from time to time parties to the Loan Agreement (collectively, referred to as the “Lenders”), and Hercules Capital, Inc., in its capacity as administrative agent and collateral agent for itself and the Lenders (incorporated by reference to Exhibit 10.39 to the Company’s Annual Report on Form 10-K for the year ended June 30, 2021 (File No. 001-36370))

Exhibit 10.39 FIRST AMENDMENT TO LOAN AND SECURITY AGREEMENT THIS FIRST AMENDMENT TO LOAN AND SECURITY AGREEMENT (this ?Amendment?), dated as of May 13, 2021 (the ?First Amendment Effective Date?), is made by and among APPLIED GENETIC TECHNOLOGIES CORPORATION, a Delaware corporation, and each of its Subsidiaries (hereinafter collectively referred to as the ?Borrower?), the several banks and other

AGTC is Excited to Announce Seasoned Healthcare Financial and Operations Executive Jonathan I. Lieber as their new Chief Financial Officer

Exhibit 99.1 AGTC is Excited to Announce Seasoned Healthcare Financial and Operations Executive Jonathan I. Lieber as their new Chief Financial Officer September 8, 2021 GAINESVILLE, Fla. and CAMBRIDGE, Mass., Sept. 8, 2021 (GLOBE NEWSWIRE) ? Applied Genetic Technologies Corporation (Nasdaq: AGTC), a biotechnology company conducting human clinical trials of adeno-associated virus (AAV)-based gene

Offer Letter, dated as of September 3, 2021, by and between the Company and Jonathan I. Lieber.

Exhibit 10.1 July 27, 2021 Jon Lieber Dear Jon, Thank you for managing your way through the rather comprehensive interview process here at Applied Genetic Technologies Corporation (the ?Company? or ?AGTC?). Throughout that process, you have demonstrated the professional competence and collaborative spirit that we look for in every employee. As a result, I am very pleased to offer you a position as

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits

UNITED STATES 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): September 8, 2021 APPLIED GENETIC TECHNOLOGIES CORPORATION (Exact Name of Registrant as Specified in Charter) Delaware 001-36370 59-3553710 (State or other jurisdiction of incorporati

UNITED STATES 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): August 16, 2021 APPLIED GENETIC T

8-K UNITED STATES 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): August 16, 2021 APPLIED GENETIC TECHNOLOGIES CORPORATION (Exact Name of Registrant as Specified in Charter) Delaware 001-36370 59-3553710 (State or other jurisdiction of incorpora

AGTC Appoints Ophthalmology and Retinal Disease Specialist and Industry R&D Veteran Yehia Hashad, MD to its Board of Directors

Exhibit 99.1 AGTC Appoints Ophthalmology and Retinal Disease Specialist and Industry R&D Veteran Yehia Hashad, MD to its Board of Directors GAINESVILLE, Fla. and CAMBRIDGE, Mass., August 18, 2021 (GLOBE NEWSWIRE) ? Applied Genetic Technologies Corporation (Nasdaq: AGTC), a biotechnology company conducting human clinical trials of adeno-associated virus (AAV)-based gene therapies for the treatment

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

UNITED STATES 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): July 27, 2021 APPLIED GENETIC TECHNOLOGIES CORPORATION (Exact Name of Registrant as Specified in Charter) Delaware 001-36370 59-3553710 (State or other jurisdiction of incorporation)

Financial Statements and Exhibits, Other Events

UNITED STATES 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 24, 2021 APPLIED GENETIC TECHNOLOGIES CORPORATION (Exact Name of Registrant as Specified in Charter) Delaware 001-36370 59-3553710 (State or other jurisdiction of incorporation)

AGTC Reports 12-Month Data from its Ongoing Phase 1/2 Achromatopsia Clinical Trials Showing Biologic Activity in Patients with Mutations in the ACHM B3 Gene - Activities to support the next stage of clinical development of ACHM B3 candidate are ongoi

Exhibit 99.1 AGTC Reports 12-Month Data from its Ongoing Phase 1/2 Achromatopsia Clinical Trials Showing Biologic Activity in Patients with Mutations in the ACHM B3 Gene - Activities to support the next stage of clinical development of ACHM B3 candidate are ongoing- - Dosing of pediatric patients in ACHM B3 program and ACHM A3 program is expected to be completed in August 2021 - -Conference call t

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits

UNITED STATES 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 17, 2021 APPLIED GENETIC TECHNOLOGIES CORPORATION (Exact Name of Registrant as Specified in Charter) Delaware 001-36370 59-3553710 (State or other jurisdiction of incorporation)

FIRST AMENDMENT TO EMPLOYMENT AGREEMENT (Stephen W. Potter)

Exhibit 10.1 FIRST AMENDMENT TO EMPLOYMENT AGREEMENT (Stephen W. Potter) THIS FIRST AMENDMENT AGREEMENT TO EMPLOYMENT AGREEMENT (this ?First Amendment?) is entered into as of the 17th day of June, 2021 by and between Applied Genetic Technologies Corporation, a Delaware corporation, including its successors and assigns (the ?Employer? or ?Company?) and Stephen W. Potter (?Executive?). WHEREAS, the

AGTC Announces Financial Results and Business Update for the Quarter Ended March 31, 2021 - Reported 50% response rate in visual sensitivity among patients in highest dose groups in ongoing Phase 1/2 clinical trial of its XLRP gene therapy candidate

Exhibit 99.1 AGTC Announces Financial Results and Business Update for the Quarter Ended March 31, 2021 - Reported 50% response rate in visual sensitivity among patients in highest dose groups in ongoing Phase 1/2 clinical trial of its XLRP gene therapy candidate for patients who met inclusion criteria for Skyline and Vista trials - - Company on track to provide multiple data readouts for its XLRP

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES 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): May 17, 2021 APPLIED GENETIC TECHNOLOGIES CORPORATION (Exact Name of Registrant as Specified in Charter) Delaware 001-36370 59-3553710 (State or other jurisdiction of incorporation) (

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 001-36370 APPLIED GENETIC TECHNOLOGIES CORPORATION (Exact Name of Registrant as Specified in Its Charter) Delaware 59-3553710 (State or Other Jurisdiction of Incorporation or Organization) (I.

Financial Statements and Exhibits, Other Events

UNITED STATES 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): May 6, 2021 APPLIED GENETIC TECHNOLOGIES CORPORATION (Exact Name of Registrant as Specified in Charter) Delaware 001-36370 59-3553710 (State or other jurisdiction of incorporation) (C

AGTC Reports Positive 12-Month Data from Highest Dose Groups in its Ongoing XLRP Phase 1/2 Clinical Trial -Groups 5 and 6 had a 50% response rate among patients who met the inclusion criteria for the Skyline and Vista trials- -Best Corrected Visual A

Exhibit 99.1 AGTC Reports Positive 12-Month Data from Highest Dose Groups in its Ongoing XLRP Phase 1/2 Clinical Trial -Groups 5 and 6 had a 50% response rate among patients who met the inclusion criteria for the Skyline and Vista trials- -Best Corrected Visual Acuity (BCVA) data continue to provide supportive evidence of biological response at 12 months- -Data from a subset of Group 4 patients av

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits

UNITED STATES 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): April 20, 2021 APPLIED GENETIC TECHNOLOGIES CORPORATION (Exact Name of Registrant as Specified in Charter) Delaware 001-36370 59-3553710 (State or other jurisdiction of incorporation)

AGTC Announces Departure of Chief Scientific Officer

Exhibit 99.1 AGTC Announces Departure of Chief Scientific Officer Gainesville Fla., and Cambridge Mass., April 26, 2021?Applied Genetic Technologies Corporation (Nasdaq: AGTC), a biotechnology company conducting human clinical trials of adeno-associated virus (AAV)-based gene therapies for the treatment of rare diseases, today announced that Mark Shearman, Ph.D., Chief Scientific Officer, has resi

-

Applied Genetic Technologies Corporation 14193 NW 119th Terrace, Suite 10 Alachua, Florida 32615 April 8, 2021 VIA EDGAR Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.

Financial Statements and Exhibits, Other Events

UNITED STATES 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): April 2, 2021 APPLIED GENETIC TECHNOLOGIES CORPORATION (Exact Name of Registrant as Specified in Charter) Delaware 001-36370 59-3553710 (State or other jurisdiction of incorporation)

Form of Indenture

Exhibit 4.3 APPLIED GENETIC TECHNOLOGIES CORPORATION INDENTURE Dated as of , 20 [ ] Trustee TABLE OF CONTENTS ARTICLE I DEFINITIONS AND INCORPORATION BY REFERENCE 1 Section 1.01 Definitions. 1 Section 1.02 Other Definitions. 4 Section 1.03 Incorporation by Reference of Trust Indenture Act. 5 Section 1.04 Rules of Construction. 5 ARTICLE II THE SECURITIES 6 Section 2.01 Issuable in Series. 6 Sectio

- S-3

Table of Contents As filed with the Securities and Exchange Commission on April 2, 2021 Registration Statement No.

Controlled Equity OfferingSM Sales Agreement, dated as of April 2, 2021, by and between Applied Genetic Technologies Corporation and Cantor Fitzgerald & Co. (incorporated by reference to Exhibit 1.2 to the Company’s Registration Statement on Form S-3 filed with the SEC on April 2, 2021)

Exhibit 1.2 Applied Genetic Technologies Corporation Shares of Common Stock (par value $0.001 per share) Controlled Equity OfferingSM Sales Agreement April 2, 2021 Cantor Fitzgerald & Co. 499 Park Avenue New York, NY 10022 Ladies and Gentlemen: Applied Genetic Technologies Corporation, a Delaware corporation (the ?Company?), confirms its agreement (this ?Agreement?) with Cantor Fitzgerald & Co. (t

SCHEDULE 13G INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d –1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d–2. (Amendment No. 1 )* APPLIED GENETIC TECHNOLOGIES CORPORATION (Name of Issuer) (Title of Class o

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d –1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d–2. (Amendment No. 1 )* APPLIED GENETIC TECHNOLOGIES CORPORATION (Name of Issuer) Common (Title of Class of Securities) 03820J100 (CUSIP Number) December 31, 2020 (Date of Event

Joint Filing Statement

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 12, 2021 By: /s/ Gilbert H. Kliman INTERWEST PARTNERS VIII, LP Name: Gilbert H. Kliman By: InterWest Management Partners VIII, LLC its General Partner By: /s/ Gilbert H. Kliman INTERWEST MANAGEMENT PARTNERS VIII, LLC By: /s/ Gilb

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* Applied Genetic Technologies Corporation (Name of Issuer) Common Stock, $0.001 par value per share (Titl

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* Applied Genetic Technologies Corporation (Name of Issuer) Common Stock, $0.001 par value per share (Title of Class of Securities) 03820J100 (CUSIP Number) December 31, 2020 (Date of Event Which Requires Filing of this Statement) Check the appropriate box

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (AMENDMENT NO 6 )* Applied Genetic Technologies Corp (Name of Issuer) Common Stock (Title of Class of Securities) 03820J 10

OMB APPROVAL OMB Number: 3235-0145 Expires: February 28, 2010 Estimated average burden hours per response 10.

SCHEDULE 13G

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2 )* Applied Genetic Technologies Corp/DE (Name of Issuer) Common Stock (Title of Class of Securities) 03820J100 (CUSIP Number) December 31, 2020 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant

Forward Looking Statements This presentation contains forward-looking statements that reflect Applied Genetic Technologies Corporation’s (“AGTC” or the “Company”) plans, estimates, assumptions and beliefs. Forward-looking statements include statement

EX-99.2 Q2 2021 Financial Results Call February 11, 2021 Exhibit 99.2 Forward Looking Statements This presentation contains forward-looking statements that reflect Applied Genetic Technologies Corporation’s (“AGTC” or the “Company”) plans, estimates, assumptions and beliefs. Forward-looking statements include statements regarding AGTC’s proposed Phase 2/3 trial design for XLRP and the proposed Pha

Regulation FD Disclosure, Financial Statements and Exhibits, Results of Operations and Financial Condition - 8-K

8-K UNITED STATES 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): February 11, 2021 APPLIED GENETIC TECHNOLOGIES CORPORATION (Exact Name of Registrant as Specified in Charter) Delaware 001-36370 59-3553710 (State or other jurisdiction of incorpo

AGTC Announces Financial Results and Business Update for the Quarter Ended December 31, 2020 - Company on track to provide multiple data readouts for XLRP and ACHM clinical programs in 2021 and 2022 - - Net proceeds of approximately $69.2 million fro

EX-99.1 Exhibit 99.1 AGTC Announces Financial Results and Business Update for the Quarter Ended December 31, 2020 - Company on track to provide multiple data readouts for XLRP and ACHM clinical programs in 2021 and 2022 - - Net proceeds of approximately $69.2 million from a recent public offering provide cash runway into calendar year 2023 - - Company to host conference call and webcast today at 8

Quarterly Report - 10-Q

10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended December 31, 2020 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 001-36370 APPLIED GENETIC TECHNOLOGIES CORPORATION (Exact Name of Registrant as Specified in Its Charter) Delaware 59-3553710 (State or Other Jurisdiction of Incorporation or Organization) (I.

Joint Filing Agreement

Exhibit 99.1 Joint Filing Agreement The undersigned acknowledge and agree that the foregoing statement on Schedule 13G is filed on behalf of each of the undersigned and that all subsequent amendments to this statement on Schedule 13G shall be filed on behalf of each of the undersigned without the necessity of filing additional joint filing statements. The undersigned acknowledge that each shall be

SCHEDULE 13G Under the Securities Exchange Act of 1934(1) (Amendment No. 3)* APPLIED GENETIC TECHNOLOGIES CORPORATION (Name of Issuer) Common Stock (Title of Class of Securities) (CUSIP Number) December 31, 2020 (Date of Event Which Requires Filing o

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934(1) (Amendment No. 3)* APPLIED GENETIC TECHNOLOGIES CORPORATION (Name of Issuer) Common Stock (Title of Class of Securities) 03820J100 (CUSIP Number) December 31, 2020 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pu

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. ___)* Applied Genetic Technologies Corporation (Name of Issuer) Common Stock, par value $0.001 per share (Ti

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Applied Genetic Technologies Corporation (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 03820J100 (CUSIP Number) January 28, 2021 (Date of Event Which Requires Filing of this Statement) Check the appropriate box t

Applied Genetic Technologies Corporation

SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Applied Genetic Technologies Corporation (Name of Issuer) Common Stock, par value $0.001 (Title of Class of Securities) 03820J100 (CUSIP Number) January 27, 2021 (Date of event which requires filing of this statement) Check the appropriate box to designate the rule pur

Regulation FD Disclosure, Financial Statements and Exhibits - 8-K

8-K UNITED STATES 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): February 1, 2021 APPLIED GENETIC TECHNOLOGIES CORPORATION (Exact Name of Registrant as Specified in Charter) Delaware 001-36370 59-3553710 (State or other jurisdiction of incorpor

Forward Looking Statements This presentation contains forward-looking statements that reflect Applied Genetic Technologies Corporation’s (“AGTC” or the “Company”) plans, estimates, assumptions and beliefs. Forward-looking statements include statement

EX-99.1 Corporate Presentation February 2021 Exhibit 99.1 Forward Looking Statements This presentation contains forward-looking statements that reflect Applied Genetic Technologies Corporation’s (“AGTC” or the “Company”) plans, estimates, assumptions and beliefs. Forward-looking statements include statements regarding AGTC’s proposed Phase 2/3 trial design for XLRP and the proposed Phase 1/2 expan

Underwriting Agreement, dated January 28, 2021, by and among Stifel, Nicolaus & Company, Incorporated, Wells Fargo Securities, LLC and MTS Securities, LLC, as representatives of the underwriters named in Exhibit A thereto

EX-1.1 Exhibit 1.1 APPLIED GENETIC TECHNOLOGIES CORPORATION 16,741,573 Shares of Common Stock Warrants to Purchase 8,370,786 Shares of Common Stock UNDERWRITING AGREEMENT Dated: January 28, 2021 Table of Contents Page SECTION 1. Representations and Warranties 2 SECTION 2. Sale and Delivery to Underwriters; Closing 15 SECTION 3. Covenants of the Company 15 SECTION 4. Payment of Expenses 19 SECTION

AGTC Announces Proposed Public Offering of Common Stock and Warrants

EX-99.1 Exhibit 99.1 AGTC Announces Proposed Public Offering of Common Stock and Warrants GAINESVILLE, Fla., and CAMBRIDGE, Mass., January 27, 2021 — Applied Genetic Technologies Corporation (Nasdaq: AGTC), a biotechnology company conducting human clinical trials of adeno-associated virus (AAV)-based gene therapies for the treatment of rare diseases, today announced that it is offering to sell sha

16,741,573 Shares of Common Stock Warrants to Purchase 8,370,786 Shares of Common Stock Applied Genetic Technologies Corporation

424B5 Table of Contents Filed Pursuant to Rule 424(b)(5) Registration No. 333-225286 PROSPECTUS SUPPLEMENT TO PROSPECTUS DATED JUNE 19, 2018 16,741,573 Shares of Common Stock Warrants to Purchase 8,370,786 Shares of Common Stock Applied Genetic Technologies Corporation We are offering (i) 16,741,573 shares of our common stock, par value $0.001 per share and (ii) accompanying warrants, which we ref

Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Other Events - 8-K

8-K UNITED STATES 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): January 28, 2021 APPLIED GENETIC TECHNOLOGIES CORPORATION (Exact Name of Registrant as Specified in Charter) Delaware 001-36370 59-3553710 (State or other jurisdiction of incorpor

AGTC Announces Pricing of Public Offering of Common Stock and Warrants

EX-99.2 Exhibit 99.2 AGTC Announces Pricing of Public Offering of Common Stock and Warrants GAINESVILLE, Fla., and CAMBRIDGE, Mass., January 28, 2021 — Applied Genetic Technologies Corporation (Nasdaq: AGTC), a biotechnology company conducting human clinical trials of adeno-associated virus (AAV)-based gene therapies for the treatment of rare diseases, today announced the pricing of its previously

Form of Common Stock Purchase Warrant (incorporated by reference to Exhibit 4.1 to the Company’s Current Report on Form 8-K, event date January 28, 2021, filed with the SEC on January 29, 2021 (File No. 001-36370))

EX-4.1 Exhibit 4.1 COMMON STOCK PURCHASE WARRANT APPLIED GENETIC TECHNOLOGIES CORPORATION Warrant Shares: [ ] Issue Date: February 1, 2021 THIS COMMON STOCK PURCHASE WARRANT (this “Warrant”) certifies that, for value received, or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time on or after the Is

Regulation FD Disclosure, Financial Statements and Exhibits, Results of Operations and Financial Condition, Other Events

8-K 1 d118119d8k.htm 8-K UNITED STATES 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): January 27, 2021 APPLIED GENETIC TECHNOLOGIES CORPORATION (Exact Name of Registrant as Specified in Charter) Delaware 001-36370 59-3553710 (State or other jur

AGTC Announces First Reported Improvements in Visual Sensitivity for Achromatopsia (ACHM) patients from its Ongoing Clinical Trials -Preliminary results suggest sustained improvements to 12-months in visual sensitivity, as measured by full field stat

EX-99.1 Exhibit 99.1 AGTC Announces First Reported Improvements in Visual Sensitivity for Achromatopsia (ACHM) patients from its Ongoing Clinical Trials -Preliminary results suggest sustained improvements to 12-months in visual sensitivity, as measured by full field static perimetry, supported in some patients by other endpoints- -Company plans longer term follow-up, dosing of younger pediatric pa

SUBJECT TO COMPLETION, DATED JANUARY 27, 2021

424B5 Table of Contents Filed Pursuant to Rule 424(b)(5) Registration No. 333-225286 The information in this preliminary prospectus supplement and the accompanying prospectus is not complete and may be changed. This preliminary prospectus supplement and the accompanying prospectus are not an offer to sell these securities and are not soliciting an offer to buy these securities in any jurisdiction

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (AMENDMENT NO. 1) APPLIED GENETIC TECHNOLOGIES CORPORATION (Name of Issuer) COMMON STOCK, PAR VALUE $0.001 PER SHARE (Title

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (AMENDMENT NO. 1) APPLIED GENETIC TECHNOLOGIES CORPORATION (Name of Issuer) COMMON STOCK, PAR VALUE $0.001 PER SHARE (Title of Class of Securities) 03820J100 (CUSIP Number) DECEMBER 31, 2020 (Date of event which requires filing of this statement) Check the appropriate box

Regulation FD Disclosure, Financial Statements and Exhibits - 8-K

8-K UNITED STATES 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): December 23, 2020 APPLIED GENETIC TECHNOLOGIES CORPORATION (Exact Name of Registrant as Specified in Charter) Delaware 001-36370 59-3553710 (State or other jurisdiction of incorpo

Forward-Looking Statements This presentation contains forward-looking statements that reflect AGTC's plans, estimates, assumptions and beliefs. Forward-looking statements include statements regarding its proposed Phase 2/3 trial design for XLRP, its

EX-99.1 Corporate Presentation December 2020 Exhibit 99.1 Forward-Looking Statements This presentation contains forward-looking statements that reflect AGTC's plans, estimates, assumptions and beliefs. Forward-looking statements include statements regarding its proposed Phase 2/3 trial design for XLRP, its anticipated timeline and potential to receive FDA approval to begin the XLRP pivotal trial,

Submission of Matters to a Vote of Security Holders - 8-K

8-K UNITED STATES 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): December 16, 2020 APPLIED GENETIC TECHNOLOGIES CORPORATION (Exact Name of Registrant as Specified in Charter) Delaware 001-36370 59-3553710 (State or other jurisdiction of incorpo

Description of additional monthly payments to Mark S. Shearman effective July 1, 2020

EX-10.1 Exhibit 10.1 On September 14, 2020, the compensation committee of the board of directors of Applied Genetic Technologies Corporation (the “Company”) approved additional compensation to be provided to Mark Shearman, the Company’s chief scientific officer. This compensation accrues for the benefit of Dr. Shearman as an additional payment of $15,000 per month effective beginning on July 1, 20

Quarterly Report - 10-Q

10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2020 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 001-36370 APPLIED GENETIC TECHNOLOGIES CORPORATION (Exact Name of Registrant as Specified in Its Charter) Delaware 59-3553710 (State or Other Jurisdiction of Incorporation or Organization) (I.

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES 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): November 16, 2020 APPLIED GENETIC TECHNOLOGIES CORPORATION (Exact Name of Registrant as Specified in Charter) Delaware 001-36370 59-3553710 (State or other jurisdiction of incorporati

AGTC Announces Financial Results and Business Update for the Quarter Ended September 30, 2020

Exhibit 99.1 AGTC Announces Financial Results and Business Update for the Quarter Ended September 30, 2020 GAINESVILLE, Fla., and CAMBRIDGE, Mass., November 16, 2020 ? Applied Genetic Technologies Corporation (Nasdaq: AGTC), a biotechnology company conducting human clinical trials of adeno-associated virus (AAV)-based gene therapies for the treatment of rare diseases, today announced financial res

- DEFA14A

DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Pro

- DEF 14A

DEF 14A Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.

AGTC / Applied Genetic Technologies Corp / Portolan Capital Management, LLC - SC 13G Passive Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d –1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d–2. (Amendment No. )* APPLIED GENETIC TECHNOLOGIES CORPORATION (Name of Issuer) Common (Title of Class of Securities) 03820J100 (CUSIP Number) September 18, 2020 (Date of Event

File No. 333-248900

S-8 As filed with the Securities and Exchange Commission on September 18, 2020 Registration No.

Form of Non-Statutory Stock Option Agreement under the 2013 Equity and Incentive Plan (incorporated by reference to Exhibit 10.24 to the Company’s Annual Report on Form 10-K for the year ended June 30, 2020 (File No. 001-36370))

EX-10.24 Exhibit 10.24 NONSTATUTORY STOCK OPTION Granted by Applied Genetic Technologies Corporation (the “Company”) Under the 2013 Equity and Incentive Plan This Option is and shall be subject in every respect to the provisions of the Company’s 2013 Equity and Incentive Plan, as amended from time to time (the “Plan”), which is incorporated herein by reference and made a part hereof. The holder of

Form of Restricted Stock Unit Agreement under the 2013 Equity and Incentive Plan (incorporated by reference to Exhibit 10.25 to the Company’s Annual Report on Form 10-K for the year ended June 30, 2020 (File No. 001-36370))

EX-10.25 Exhibit 10.25 RESTRICTED STOCK UNIT AGREEMENT Granted by Applied Genetic Technologies Corporation Under the 2013 Equity and Incentive Plan Applied Genetic Technologies Corporation (the “Company”) hereby grants to the person named below (the “Recipient”) restricted stock units (“Restricted Stock Units”), with each such unit representing the right to receive one share of Stock, pursuant to

Exhibit 4.2

EX-4.2 Exhibit 4.2 DESCRIPTION OF CAPITAL STOCK The following description of the capital stock of Applied Genetic Technologies Corporation (the “Company,” “we,” “us,” and “our”) is qualified in its entirety by reference to our Fifth Amended and Restated Certificate of Incorporation (our “certificate of incorporation”) and our Amended and Restated Bylaws (our “by-laws”), copies of which are incorpo

Annual Report - 10-K

10-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Fiscal Year Ended June 30, 2020 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 001-36370 APPLIED GENETIC TECHNOLOGIES CORPORATION (Exact Name of Registrant as Specified in Its Charter) Delaware 59-3553710 (State or Other Jurisdiction of Incorporation or Organization) (I.

Form of Restricted Stock Agreement under the 2013 Equity and Incentive Plan (incorporated by reference to Exhibit 10.26 to the Company’s Annual Report on Form 10-K for the year ended June 30, 2020 (File No. 001-36370))

EX-10.26 Exhibit 10.26 APPLIED GENETIC TECHNOLOGIES CORPORATION EMPLOYEE’S RESTRICTED STOCK AGREEMENT 1. Restricted Stock Award. Applied Genetic Technologies Corporation (the “Company”) has granted to [●] (the “Grantee”), a restricted stock award (the “Award”), pursuant to the Company’s 2013 Equity and Incentive Plan (the “Plan”), of [●] shares (the “Shares”) of common stock, $0.001 par value (“Co

Form of Incentive Stock Option Agreement under the 2013 Equity and Incentive Plan (incorporated by reference to Exhibit 10.23 to the Company’s Annual Report on Form 10-K for the year ended June 30, 2020 (File No. 001-36370))

EX-10.23 Exhibit 10.23 INCENTIVE STOCK OPTION Granted by Applied Genetic Technologies Corporation (the “Company”) Under the 2013 Equity and Incentive Plan This Option is and shall be subject in every respect to the provisions of the Company’s 2013 Equity and Incentive Plan, as amended from time to time (the “Plan”), which is incorporated herein by reference and made a part hereof. The holder of th

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers - 8-K

8-K UNITED STATES 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): September 14, 2020 APPLIED GENETIC TECHNOLOGIES CORPORATION (Exact Name of Registrant as Specified in Charter) Delaware 001-36370 59-3553710 (State or other jurisdiction of incorp

Forward-Looking Statements This presentation contains forward-looking statements that reflect AGTC's plans, estimates, assumptions and beliefs. Forward-looking statements include statements regarding the timing for and expected expansion of its XLRP

EX-99.2 2020 10-K Conference Call September 9, 2020 Exhibit 99.2 Forward-Looking Statements This presentation contains forward-looking statements that reflect AGTC's plans, estimates, assumptions and beliefs. Forward-looking statements include statements regarding the timing for and expected expansion of its XLRP clinical development program, the timing for reporting data in its XLRP and ACHM clin

AGTC Provides Trial Design Update for its Phase 2/3 XLRP Clinical Trial, New Data on XLRP Higher Dose Group and Financial Results for the Fourth Quarter and Year Ended June 30, 2020 - Planned Phase 2/3 trial expected to include approximately 60 patie

EX-99.1 Exhibit 99.1 AGTC Provides Trial Design Update for its Phase 2/3 XLRP Clinical Trial, New Data on XLRP Higher Dose Group and Financial Results for the Fourth Quarter and Year Ended June 30, 2020 - Planned Phase 2/3 trial expected to include approximately 60 patients and a responder analysis based on at least 7 decibel improvement in visual sensitivity in at least 5 loci across two active d

Regulation FD Disclosure, Financial Statements and Exhibits, Results of Operations and Financial Condition - 8-K

8-K UNITED STATES 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): September 9, 2020 APPLIED GENETIC TECHNOLOGIES CORPORATION (Exact Name of Registrant as Specified in Charter) Delaware 001-36370 59-3553710 (State or other jurisdiction of incorpo

Forward-Looking Statements This presentation contains forward-looking statements that reflect AGTC's plans, estimates, assumptions and beliefs. Forward-looking statements include statements regarding the timing for and expected expansion of its XLRP

EX-99.1 August 2020 Investor Presentation Exhibit 99.1 Forward-Looking Statements This presentation contains forward-looking statements that reflect AGTC's plans, estimates, assumptions and beliefs. Forward-looking statements include statements regarding the timing for and expected expansion of its XLRP clinical development program, the timing for reporting data in its XLRP and ACHM clinical progr

Regulation FD Disclosure, Financial Statements and Exhibits - 8-K

8-K UNITED STATES 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): August 11, 2020 APPLIED GENETIC TECHNOLOGIES CORPORATION (Exact Name of Registrant as Specified in Charter) Delaware 001-36370 59-3553710 (State or other jurisdiction of incorpora

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

8-K UNITED STATES 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): August 5, 2020 APPLIED GENETIC TECHNOLOGIES CORPORATION (Exact Name of Registrant as Specified in Charter) Delaware 001-36370 59-3553710 (State or other jurisdiction of incorporat

Regulation FD Disclosure, Financial Statements and Exhibits

8-K UNITED STATES 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): July 22, 2020 APPLIED GENETIC TECHNOLOGIES CORPORATION (Exact Name of Registrant as Specified in Charter) Delaware 001-36370 59-3553710 (State or other jurisdiction of incorporati

AGTC Announces Updated Development Plan for its X-Linked Retinitis Pigmentosa Clinical Program, Including Q1 2021 Start of Planned Phase 2/3 Trial FDA feedback allows for forward program development Company reiterates that its favorable safety profil

EX-99.1 Exhibit 99.1 AGTC Announces Updated Development Plan for its X-Linked Retinitis Pigmentosa Clinical Program, Including Q1 2021 Start of Planned Phase 2/3 Trial FDA feedback allows for forward program development Company reiterates that its favorable safety profile and its advanced manufacturing and analytics capabilities enable rapid clinical development GAINESVILLE, Fla., and CAMBRIDGE, M

Amendment to Registrant's Code of Ethics, or Waiver of a Provision of the Code of Ethics, Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

8-K UNITED STATES 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 30, 2020 APPLIED GENETIC TECHNOLOGIES CORPORATION (Exact Name of Registrant as Specified in Charter) Delaware 001-36370 59-3553710 (State or other jurisdiction of incorporati

Applied Genetic Technologies Corporation Code of Ethics

EX-14.1 Exhibit 14.1 APPLIED GENETIC TECHNOLOGIES CORPORATION CODE OF ETHICS As Approved by the Board of Directors on July 1, 2020 1. PURPOSE This Code of Ethics sets forth legal and ethical standards of conduct for employees, officers and directors of Applied Genetic Technologies Corporation and its subsidiaries (“AGTC” or the “Company”). In addition, the Company expects those who do business on

Loan and Security Agreement, dated as of June 30, 2020, by and among Applied Genetic Technologies Corporation, the several banks and other financial institutions or entities from time to time parties to the Loan Agreement (collectively, referred to as the “Lenders”), and Hercules Capital, Inc., in its capacity as administrative agent and collateral agent for itself and the Lenders (incorporated by reference to Exhibit 10.1 to the Company’s Current Report on Form 8-K filed with the SEC on July 2, 2020 (File No. 001-36370))

EX-10.1 Exhibit 10.1 LOAN AND SECURITY AGREEMENT THIS LOAN AND SECURITY AGREEMENT is made and dated as of June 30, 2020 and is entered into by and among APPLIED GENETIC TECHNOLOGIES CORPORATION, a Delaware corporation, and each of its Subsidiaries (hereinafter collectively referred to as the “Borrower”), the several banks and other financial institutions or entities from time to time parties to th

AGTC / Applied Genetic Technologies Corp / INTEGRATED CORE STRATEGIES (US) LLC Passive Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 APPLIED GENETIC TECHNOLOGIES CORPORATION (Name of Issuer) COMMON STOCK, PAR VALUE $0.001 PER SHARE (Title of Class of Securities) 03820J100 (CUSIP Number) JUNE 10, 2020 (Date of event which requires filing of this statement) Check the appropriate box to designate the rule

Financial Statements and Exhibits, Results of Operations and Financial Condition

8-K UNITED STATES 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): May 13, 2020 APPLIED GENETIC TECHNOLOGIES CORPORATION (Exact Name of Registrant as Specified in Charter) Delaware 001-36370 59-3553710 (State or other jurisdiction of incorporatio

AGTC Announces Financial Results and Business Update for the Quarter Ended March 31, 2020 - Company on track to provide multiple data readouts for XLRP and ACHM clinical programs in 2H 2020— - Company on track for End of Phase 2 meeting in Q2 2020 -

EX-99.1 Exhibit 99.1 AGTC Announces Financial Results and Business Update for the Quarter Ended March 31, 2020 - Company on track to provide multiple data readouts for XLRP and ACHM clinical programs in 2H 2020— - Company on track for End of Phase 2 meeting in Q2 2020 - - Company sees minimal COVID-19 impact to date - - Company to host conference call and webcast today at 8:00am ET - GAINESVILLE,

Restricted Stock Agreement related to restricted stock award to Matthew Feinsod under the Company’s 2013 Equity and Incentive Plan dated March 25, 2020

EX-10.1 EXHIBIT 10.1 APPLIED GENETIC TECHNOLOGIES CORPORATION EMPLOYEE’S RESTRICTED STOCK AGREEMENT 1. Restricted Stock Award. Applied Genetic Technologies Corporation (the “Company”) has granted to Matthew Feinsod (the “Grantee”), a restricted stock award (the “Award”), pursuant to the Company’s 2013 Equity and Incentive Plan (the “Plan”), of 10,000 shares (the “Shares”) of common stock, $0.001 p

Quarterly Report - 10-Q

10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2020 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 001-36370 APPLIED GENETIC TECHNOLOGIES CORPORATION (Exact Name of Registrant as Specified in Its Charter) Delaware 59-3553710 (State or Other Jurisdiction of Incorporation or Organization) (I.

Regulation FD Disclosure, Financial Statements and Exhibits

8-K/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): April 7, 2020 APPLIED GENETIC TECHNOLOGIES CORPORATION (Exact Name of Registrant as Specified in Charter) Delaware 001-36370 59-3553710 (State or other jurisdiction of incorpo

Forward-Looking Statements This presentation contains forward-looking statements that reflect AGTC's plans, estimates, assumptions and beliefs. Forward-looking statements include information concerning possible or assumed future results of operations

EX-99.1 April 2020 Investor Presentation Exhibit 99.1 Forward-Looking Statements This presentation contains forward-looking statements that reflect AGTC's plans, estimates, assumptions and beliefs. Forward-looking statements include information concerning possible or assumed future results of operations, financial guidance, business strategies and operations, preclinical and clinical product devel

Forward-Looking Statements This presentation contains forward-looking statements that reflect AGTC's plans, estimates, assumptions and beliefs. Forward-looking statements include information concerning possible or assumed future results of operations

EX-99.1 April 2020 Investor Presentation Exhibit 99.1 Forward-Looking Statements This presentation contains forward-looking statements that reflect AGTC's plans, estimates, assumptions and beliefs. Forward-looking statements include information concerning possible or assumed future results of operations, financial guidance, business strategies and operations, preclinical and clinical product devel

Regulation FD Disclosure, Financial Statements and Exhibits

8-K UNITED STATES 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): April 7, 2020 APPLIED GENETIC TECHNOLOGIES CORPORATION (Exact Name of Registrant as Specified in Charter) Delaware 001-36370 59-3553710 (State or other jurisdiction of incorporati

AGTC / Applied Genetic Technologies Corp / INTERWEST PARTNERS VIII LP - SC 13G/A Passive Investment

SC 13G/A OMB APPROVAL OMB Number: 3235-0145 Expires: February 28, 2010 Estimated average burden hours per response 10.

AGTC / Applied Genetic Technologies Corp / GLAXOSMITHKLINE PLC - AMENDMENT TO FORM SC 13D Activist Investment

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

Joint Filing Statement

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

AGTC / Applied Genetic Technologies Corp / DIMENSIONAL FUND ADVISORS LP - SCHEDULE 13G/A Passive Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* APPLIED GENETIC TECHNOLOGIES (Name of Issuer) Common Stock (Title of Class of Securities) 03820J100 (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

AGTC / Applied Genetic Technologies Corp / BIOGEN INC. - SC 13G/A Passive Investment

SC 13G/A CUSIP No. 03820J100 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* Applied Genetic Technologies Corporation (Name of Issuer) Common Stock, $0.001 par value (Title of Class of Securities) 03820J100 (CUSIP Number) December 31, 2019 Date of Event Which Requires Filing of this Statement Check th

AGTC / Applied Genetic Technologies Corp POS EX - - POS EX

POS EX As filed with the Securities and Exchange Commission on February 6, 2020. Registration No. 333-236156 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 POST-EFFECTIVE AMENDMENT NO. 1 TO FORM S-1 REGISTRATION STATEMENT under THE SECURITIES ACT OF 1933 APPLIED GENETIC TECHNOLOGIES CORPORATION (Exact Name of Registrant as Specified in Its Charter) Delaware 2836 59-3553710

6,500,000 Shares Applied Genetic Technologies Corporation Common Stock

Table of Contents Filed pursuant to Rule 424(b)(4) Registration No. 333-236156 PROSPECTUS 6,500,000 Shares Applied Genetic Technologies Corporation Common Stock Applied Genetic Technologies Corporation is offering 6,500,000 shares of its common stock. Our common stock is traded on the Nasdaq Global Market under the symbol ?AGTC.? On February 6, 2020, the last reported sale price of our common stoc

Form S-1

S-1/A Table of Contents As filed with the Securities and Exchange Commission on February 5, 2020.

AGTC / Applied Genetic Technologies Corp CORRESP - -

CORRESP (Company Acceleration) Applied Genetic Technologies Corporation 14193 NW 119th Terrace, Suite #10 Alachua, Florida 32615 February 5, 2020 VIA EDGAR Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.

AGTC / Applied Genetic Technologies Corp CORRESP - -

CORRESP (U/W Acceleration) Wells Fargo Securities, LLC 500 West 33rd Street New York, New York 10001 Wedbush Securities Inc.

Form of Underwriting Agreement

EX-1.1 Exhibit 1.1 APPLIED GENETIC TECHNOLOGIES CORPORATION [•] Shares of Common Stock UNDERWRITING AGREEMENT Dated: February [•], 2020 Table of Contents Page SECTION 1. Representations and Warranties 1 SECTION 2. Sale and Delivery to Underwriters; Closing 15 SECTION 3. Covenants of the Company 16 SECTION 4. Payment of Expenses 19 SECTION 5. Conditions of Underwriters’ Obligations 20 SECTION 6. In

February 5, 2020

10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended December 31, 2019 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 001-36370 APPLIED GENETIC TECHNOLOGIES CORPORATION (Exact Name of Registrant as Specified in Its Charter) Delaware 59-3553710 (State or Other Jurisdiction of Incorporation or Organization) (I.

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S-1 Table of Contents As filed with the Securities and Exchange Commission on January 29, 2020.

Joint Filing Agreement

Exhibit 99.1 Joint Filing Agreement The undersigned acknowledge and agree that the foregoing statement on Schedule 13G is filed on behalf of each of the undersigned and that all subsequent amendments to this statement on Schedule 13G shall be filed on behalf of each of the undersigned without the necessity of filing additional joint filing statements. The undersigned acknowledge that each shall be

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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934(1) (Amendment No. 2)* APPLIED GENETIC TECHNOLOGIES CORPORATION (Name of Issuer) Common Stock (Title of Class of Securities) 03820J100 (CUSIP Number) December 31, 2019 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pu

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8-K UNITED STATES 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): January 6, 2020 APPLIED GENETIC TECHNOLOGIES CORPORATION (Exact Name of Registrant as Specified in Charter) Delaware 001-36370 59-3553710 (State or other jurisdiction of incorpora

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8-K UNITED STATES 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): December 4, 2019 APPLIED GENETIC TECHNOLOGIES CORPORATION (Exact Name of Registrant as Specified in Charter) Delaware 001-36370 59-3553710 (State or other jurisdiction of incorpor