SEC Form 4 · accession 0001104659-19-001304
Adaptimmune Therapeutics PLC · ADAP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
William C Bertrand Jr.
Officer — Chief Operating Officer
Period of report
Jan 4, 2019
Accepted (ET)
Jan 8, 2019 · 9:02 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001621227
Table I — non-derivative securities
No Table I lines on this filing.
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 SharesF1,F2 | $0.89 | Jan 4, 2019 | A | 1,006,224 | A | — | Jan 4, 2029 | Ordinary Shares | 1,006,224 | 1,006,224 | D |
| Option to purchase Ordinary SharesF3,F4,F5 | $0.0013 | Jan 4, 2019 | A | 224,724 | A | — | — | Ordinary Shares | 224,724 | 224,724 | D |
Explanation of responses
- F1The exercise price was converted from GBP0.70 based on an exchange rate of $U.S. 1.26332 - GBP1.00. The actual exercise price will be the pounds sterling amount.
- F2Exercisable as to 251,556 Ordinary Shares on January 4, 2020 and will be exercisable as to the remainder in monthly installments of 20,958 Ordinary Shares on the fourth of each month from February 4, 2020 through December 4, 2022 and 21,138 Ordinary Shares on January 4, 2023.
- F3The exercise price was converted from GBP0.001, being the nominal value of an ordinary share, based on an exchange rate of $U.S. 1.26332 - GBP1.00. The actual exercise price will be the pounds sterling amount.
- F4Exercisable as to 56,178 Ordinary Shares on January 4, 2020 and will be exercisable as to the remainder in annual installments of 56,178 Ordinary Shares on January 4, 2021 and January 4, 2022 and 56,190 Ordinary Shares on January 4, 2023.
- F5The expiration date of each annual installment of ordinary shares is March 15 of the calendar year following the year in which that installment becomes exercisable.