SEC Form 3 · accession 0001104659-16-087761
Adaptimmune Therapeutics PLC · ADAP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Helena Katrina Tayton-Martin
Officer — Chief Operating Officer
Period of report
Jan 1, 2016
Accepted (ET)
Jan 4, 2016 · 4:51 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 | — | — | — | 1,815,000 | 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,F1 | $0.1671 | holding | — | — | — | — | Jan 25, 2022 | Ordinary Shares | 192,500 | — | D |
| Option to purchase Ordinary SharesF6,F2 | $0.1671 | holding | — | — | — | — | Jan 1, 2023 | Ordinary Shares | 742,500 | — | D |
| Option to purchase Ordinary SharesF7,F3 | $0.1671 | holding | — | — | — | — | Apr 14, 2024 | Ordinary Shares | 850,000 | — | D |
| Option to purchase Ordinary SharesF8,F4 | $0.5308 | holding | — | — | — | — | Dec 19, 2024 | Ordinary Shares | 1,750,000 | — | D |
Explanation of responses
- F1Currently exercisable as to 144,300 Ordinary Shares and will be exercisable as to 48,200 Ordinary Shares on January 25, 2016.
- F2Currently exercisable as to 694,500 Ordinary Shares and will be exercisable as to 48,000 Ordinary Shares on January 1, 2017.
- F3Currently exercisable as to 212,500 Ordinary Shares and will be exercisable as to the remainder ratably in annual installments on the fourteenth of April from April 14, 2016 through April 14, 2018.
- F4Exercisable as to 437,500 Ordinary Shares on December 19, 2015 and will be exercisable as to the remainder in monthly installments of 36,400 Ordinary Shares on the nineteenth of each month from January 19, 2016 through November 19, 2018, and in one installment of 38,500 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 GBP0.112 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.
- F8The 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.