0001104659-24-004560.txt : 20240117
0001104659-24-004560.hdr.sgml : 20240117
20240117173020
ACCESSION NUMBER: 0001104659-24-004560
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20240116
FILED AS OF DATE: 20240117
DATE AS OF CHANGE: 20240117
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Bertrand William C JR
CENTRAL INDEX KEY: 0001291937
ORGANIZATION NAME:
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37368
FILM NUMBER: 24539444
MAIL ADDRESS:
STREET 1: C/O ADAPTIMMUNE THERAPEUTICS PLC
STREET 2: 60 JUBILEE AVE, MILTON PARK
CITY: ABINGDON, OXFORDSHIRE
STATE: X0
ZIP: OX14 4RX
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Adaptimmune Therapeutics PLC
CENTRAL INDEX KEY: 0001621227
STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836]
ORGANIZATION NAME: 03 Life Sciences
IRS NUMBER: 000000000
STATE OF INCORPORATION: X0
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 60 JUBILEE AVENUE
STREET 2: MILTON PARK
CITY: ABINGDON, OXFORDSHIRE
STATE: X0
ZIP: OX14 4RX
BUSINESS PHONE: 44 1235 430000
MAIL ADDRESS:
STREET 1: 60 JUBILEE AVENUE
STREET 2: MILTON PARK
CITY: ABINGDON, OXFORDSHIRE
STATE: X0
ZIP: OX14 4RX
FORMER COMPANY:
FORMER CONFORMED NAME: Adaptimmune Ltd
DATE OF NAME CHANGE: 20141001
4
1
tm243270-13_4seq1.xml
OWNERSHIP DOCUMENT
X0508
4
2024-01-16
0
0001621227
Adaptimmune Therapeutics PLC
ADAP
0001291937
Bertrand William C JR
C/O ADAPTIMMUNE THERAPEUTICS PLC
60 JUBILEE AVENUE, MILTON PARK
ABINGDON
X0
OX14 4RX
UNITED KINGDOM
0
1
0
0
Chief Operating Officer
0
American Depositary Shares representing Ordinary Shares
2024-01-16
4
S
0
4681
0.79
D
7023
D
American Depositary Shares representing Ordinary Shares
2024-01-17
4
S
0
5309
0.673
D
7785
D
American Depositary Shares representing Ordinary Shares
2024-01-17
4
S
0
13599
0.673
D
20201
D
Each American Depositary Share ("ADS") represents six ordinary shares, nominal value GBP 0.001 per ordinary share, of the Issuer. The ADSs were obtained from the exercise of approximately 25% of an RSU-style share option covering ordinary shares of the Issuer granted on January 16, 2020 and which have vested. Once vested, the RSU-style options must be exercised within a restricted period or they are forfeited. The exercise of the portion of these RSU-style share options and the sale reported in this Form 4 were effected pursuant to a Sell to Cover exercise implemented automatically in accordance with the Issuer's option plan, under which sufficient ADSs were sold by the Issuer to satisfy the Reporting Person's tax withholding obligations and associated sale costs. The residual ADSs are held by the Reporting Person.
The price reported in Column 4 is the sale price per ADS.
The ADSs reported in this Column 5 represent solely those residual ADSs held by the Reporting Person which result from the Sell to Cover exercise transaction reported on this Form 4. Additionally, the Reporting Person holds 129,149 ADSs and RSU-style options and other options covering an aggregate of 13,781,154 ordinary shares of the Issuer.
Each American Depositary Share ("ADS") represents six ordinary shares, nominal value GBP 0.001 per ordinary share, of the Issuer. The ADSs were obtained from the exercise of approximately 25% of an RSU-style share option covering ordinary shares of the Issuer granted on January 17, 2023 and which have vested. Once vested, the RSU-style options must be exercised within a restricted period or they are forfeited. The exercise of the portion of these RSU-style share options and the sale reported in this Form 4 were effected pursuant to a Sell to Cover exercise implemented automatically in accordance with the Issuer's option plan, under which sufficient ADSs were sold by the Issuer to satisfy the Reporting Person's tax withholding obligations and associated sale costs. The residual ADSs are held by the Reporting Person.
The price reported in Column 4 is a weighted average price. These ADSs were sold in multiple transactions at prices ranging from $0.67 to $0.73, inclusive. Upon request, the Reporting Person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission with full information regarding the ADSs sold at this price in this footnote.
The ADSs reported in this Column 5 represent solely those residual ADSs held by the Reporting Person which result from the Sell to Cover exercise transaction reported on this Form 4. Additionally, the Reporting Person holds 129,149 ADSs and RSU-style options and other options covering an aggregate of 13,781,154 ordinary shares of the Issuer.
Each American Depositary Share ("ADS") represents six ordinary shares, nominal value GBP 0.001 per ordinary share, of the Issuer. The ADSs were obtained from the exercise of 100% of an RSU-style share option covering ordinary shares of the Issuer granted on January 17, 2023 and which have vested. Once vested, the RSU-style options must be exercised within a restricted period or they are forfeited. The exercise of the portion of these RSU-style share options and the sale reported in this Form 4 were effected pursuant to a Sell to Cover exercise implemented automatically in accordance with the Issuer's option plan, under which sufficient ADSs were sold by the Issuer to satisfy the Reporting Person's tax withholding obligations and associated sale costs. The residual ADSs are held by the Reporting Person.
The price reported in Column 4 is a weighted average price. These ADSs were sold in multiple transactions at prices ranging from $0.67 to $0.73, inclusive. Upon request, the Reporting Person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission with full information regarding the ADSs sold at this price in this footnote.
The ADSs reported in this Column 5 represent solely those residual ADSs held by the Reporting Person which result from the Sell to Cover exercise transaction reported on this Form 4. Additionally, the Reporting Person holds 129,149 ADSs and RSU-style options and other options covering an aggregate of 13,781,154 ordinary shares of the Issuer.
/s/ William Charles Bertrand
2024-01-17