0001104659-21-003590.txt : 20210112
0001104659-21-003590.hdr.sgml : 20210112
20210112210008
ACCESSION NUMBER: 0001104659-21-003590
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20210112
FILED AS OF DATE: 20210112
DATE AS OF CHANGE: 20210112
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Rawcliffe Adrian
CENTRAL INDEX KEY: 0001555851
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37368
FILM NUMBER: 21524770
MAIL ADDRESS:
STREET 1: 440 SOUTH BROAD STREET, UNIT 1906
CITY: PHILADELPHIA
STATE: PA
ZIP: 19146
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Adaptimmune Therapeutics PLC
CENTRAL INDEX KEY: 0001621227
STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836]
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
tm212950-1_4seq1.xml
OWNERSHIP DOCUMENT
X0306
4
2021-01-12
0
0001621227
Adaptimmune Therapeutics PLC
ADAP
0001555851
Rawcliffe Adrian
C/O ADAPTIMMUNE THERAPEUTICS PLC,
60 JUBILEE AVENUE, MILTON PARK
ABINGDON
X0
OX14 4RX
UNITED KINGDOM
1
1
0
0
Chief Executive Officer
American Depositary Shares representing Ordinary Shares
2021-01-12
4
S
0
2707
6.1522
D
3695
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 12, 2018 and which vested on January 12, 2021. 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 $6.15 to $6.22, 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 25,165 ADSs and RSU-style options and other options covering an aggregate of 16,671,816 ordinary shares of the Issuer.
/s/ Adrian George Rawcliffe
2021-01-12