SEC Form 4 · accession 0001104659-16-121929
Adaptimmune Therapeutics PLC · ADAP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Charles Elliott Sigal
Director
Period of report
May 16, 2016
Accepted (ET)
May 18, 2016 · 7:34 pm EDT
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 shareF1,F2,F3,F4 | May 16, 2016 | P | 15,000 | $1.50 | A | 269,100 | I | Shares held by Sigal Family Investments, LLC |
| Ordinary Shares with a nominal value of GBP0.001 per shareF1,F2,F5,F6 | May 17, 2016 | P | 15,000 | $1.53 | A | 284,100 | I | Shares held by Sigal Family Investments, LLC |
| Ordinary Shares with a nominal value of GBP0.001 per shareF1,F2,F7,F8 | May 18, 2016 | P | 15,000 | $1.55 | A | 299,100 | I | Shares held by Sigal Family Investments, LLC |
| Ordinary Shares with a nominal value of GBP0.001 per shareF9 | holding | — | — | — | 52,938 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Dr. Sigal is a manager of Sigal Family Investments, LLC. Dr. Sigal may be deemed to have voting and investment power over the shares held by Sigal Family Investments, LLC. Dr. Sigal disclaims beneficial ownership of such shares except to the extent of any pecuniary interest therein.
- F2The 15,000 Ordinary Shares are represented by 2,500 American Depositary Shares ("ADSs") which are held by Sigal Family Investments, LLC. Each ADS represents six Ordinary Shares of Adaptimmune Therapeutics plc.
- F3The price of $1.50 per Ordinary Share was derived from the purchase price paid on May 16, 2016, of $8.98 per ADS, divided by six.
- F4The 269,100 Ordinary Shares comprise (i) 254,100 Ordinary Shares, and (ii) 15,000 Ordinary Shares represented by 2,500 ADSs.
- F5The price of $1.53 per Ordinary Share was derived from the purchase price paid on May 17, 2016, of $9.18 per ADS, divided by six.
- F6The 284,100 Ordinary Shares comprise (i) 254,100 Ordinary Shares, and (ii) 30,000 Ordinary Shares represented by 5,000 ADSs.
- F7The price of $1.55 per Ordinary Share was derived from the purchase price paid on May 18, 2016, of $9.30 per ADS, divided by six.
- F8The 299,100 Ordinary Shares comprise (i) 254,100 Ordinary Shares, and (ii) 45,000 Ordinary Shares represented by 7,500 ADSs.
- F9The 52,938 Ordinary Shares are represented by 8,823 ADSs.