SEC Form 3 · accession 0001104659-16-087769
Adaptimmune Therapeutics PLC · ADAP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jonathan Kenneth Charles Knowles
Director
Period of report
Jan 1, 2016
Accepted (ET)
Jan 4, 2016 · 5:02 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 | — | — | — | 7,067,600 | D | ||
| Ordinary Shares with a nominal value of GBP0.001 per shareF1 | holding | — | — | — | 70,584 | 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 SharesF2 | $2.8379 | holding | — | — | — | May 11, 2015 | May 11, 2025 | Ordinary Shares | 175,806 | — | D |
Explanation of responses
- F1Represented by 11,764 American Depositary Shares ("ADSs") held by Dr. Knowles. Dr. Knowles holds these Ordinary Shares in the form of ADSs. Each ADS represents six Ordinary Shares of Adaptimmune Therapeutics plc.
- F2The exercise price was converted from GBP1.82 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.