0001062993-23-006327.txt : 20230308 0001062993-23-006327.hdr.sgml : 20230308 20230308200328 ACCESSION NUMBER: 0001062993-23-006327 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230306 FILED AS OF DATE: 20230308 DATE AS OF CHANGE: 20230308 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ADAMS R MARK CENTRAL INDEX KEY: 0001808905 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38957 FILM NUMBER: 23717815 MAIL ADDRESS: STREET 1: C/O ADAPTIVE BIOTECHNOLOGIES CORPORATION STREET 2: 1551 EASTLAKE AVE E STE 200 CITY: SEATTLE STATE: WA ZIP: 98102 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Adaptive Biotechnologies Corp CENTRAL INDEX KEY: 0001478320 STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836] IRS NUMBER: 270907024 STATE OF INCORPORATION: WA FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1165 EASTLAKE AVE E CITY: SEATTLE STATE: WA ZIP: 98109 BUSINESS PHONE: 206-659-0067 MAIL ADDRESS: STREET 1: 1165 EASTLAKE AVE E CITY: SEATTLE STATE: WA ZIP: 98109 FORMER COMPANY: FORMER CONFORMED NAME: Adaptive TCR Corp DATE OF NAME CHANGE: 20091209 4 1 form4.xml STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES X0306 4 2023-03-06 0001478320 Adaptive Biotechnologies Corp ADPT 0001808905 ADAMS R MARK C/O ADAPTIVE BIOTECHNOLOGIES CORPORATION 1165 EASTLAKE AVENUE EAST SEATTLE WA 98109 0 1 0 0 Chief Operating Officer Common Stock 2023-03-06 4 A 0 88652 0 A 202170 D Common Stock 2023-03-06 4 S 0 6529 8.57 D 195641 D Common Stock 2023-03-07 4 S 0 17155 8.60 D 178486 D Stock Option (right to buy) 8.46 2023-03-06 4 A 0 133033 0 A 2033-03-06 Common Stock 133033 133033 D This transaction represents the number of shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of RSUs. This sale is mandated by the Issuer's election under its equity incentive plans to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary trade by the Reporting Person. The transaction reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 10, 2022. The price reported for this transaction is a weighted-average price. The shares were sold in multiple transactions ranging from $8.245 to $8.89, inclusive. The reporting person undertakes to provide to Adaptive Biotechnologies Corporation, any security holder of Adaptive Biotechnologies Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in any footnotes to this Form 4. The options vest with respect to 1/4 of such shares on March 4, 2024, with 1/48 of such shares vesting thereafter at the end of each full month of continuous service until fully vested. /s/ R Mark Adams by Stacy L Taylor, Attorney-in-Fact 2023-03-08