SEC Form 4 · accession 0001104659-16-122115
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 19, 2016
Accepted (ET)
May 19, 2016 · 4:47 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 19, 2016 | P | 15,000 | $1.56 | A | 314,100 | I | Shares held by Sigal Family Investments, LLC |
| Ordinary Shares with a nominal value of GBP0.001 per shareF5 | 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 $1.56 per Ordinary Share was derived from the purchase price paid on May 19, 2016, of $9.36 per ADS, divided by six.
- F4The 314,100 Ordinary Shares comprise (i) 254,100 Ordinary Shares, and (ii) 60,000 Ordinary Shares represented by 10,000 ADSs.
- F5The 52,938 Ordinary Shares are represented by 8,823 ADSs.