SEC Form 3 · accession 0001104659-16-087760
Adaptimmune Therapeutics PLC · ADAP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James Noble
Officer — Chief Executive Officer · Director
Period of report
Jan 1, 2016
Accepted (ET)
Jan 4, 2016 · 4:48 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001621227
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Ordinary Shares with a nominal value of GBP0.001 per share | holding | — | — | — | 9,972,600 | D | ||
| Ordinary Shares with a nominal value of GBP0.001 per shareF1 | holding | — | — | — | 1,200,000 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Option to purchase Ordinary SharesF5,F2 | $0.1671 | holding | — | — | — | — | Mar 31, 2024 | Ordinary Shares | 1,335,000 | — | D |
| Option to purchase Ordinary SharesF6,F3 | $0.1671 | holding | — | — | — | — | Apr 14, 2024 | Ordinary Shares | 438,100 | — | D |
| Option to purchase Ordinary SharesF7,F4 | $0.5308 | holding | — | — | — | — | Dec 19, 2024 | Ordinary Shares | 3,500,000 | — | D |
Explanation of responses
- F1Represented by 200,000 American Depositary Shares ("ADSs") held by Mr. Noble. Mr. Noble holds these Ordinary Shares in the form of ADSs. Each ADS represents six Ordinary Shares of Adaptimmune Therapeutics plc.
- F2Currently exercisable as to 915,000 Ordinary Shares and will be exercisable as to the remainder ratably in annual installments on the thirty first of March from March 31, 2016 through March 31, 2018.
- F3Currently exercisable as to 109,500 Ordinary Shares and will be exercisable as to 109,500 Ordinary Shares on each of April 14, 2016 and April 14, 2017 and as to 109,600 Ordinary Shares on April 14, 2018.
- F4Exercisable as to 875,000 Ordinary Shares on December 19, 2015 and will be exercisable as to the remainder in monthly installments of 72,900 Ordinary Shares on the nineteenth of each month from January 19, 2016 through November 19, 2018, and in one installment of 73,500 Ordinary Shares on December 19, 2018.
- F5The exercise price was converted from GBP0.112 based on the noon buying rate of the Federal Reserve Bank of New York for the U.S. dollar on the date of grant. The actual exercise price will be the pounds sterling amount regardless of the exchange rate on the date of grant or of exercise.
- F6The exercise price was converted from GBP0.112 based on the noon buying rate of the Federal Reserve Bank of New York for the U.S. dollar on the date of grant. The actual exercise price will be the pounds sterling amount regardless of the exchange rate on the date of grant or of exercise.
- F7The exercise price was converted from GBP0.3557 based on the noon buying rate of the Federal Reserve Bank of New York for the U.S. dollar on the date of grant. The actual exercise price will be the pounds sterling amount regardless of the exchange rate on the date of grant or of exercise.