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ADAP Adaptimmune Therapeutics PLC

1.21
0.02 (1.68%)
04 May 2024 - Closed
Delayed by 15 minutes
Name Symbol Market Type
Adaptimmune Therapeutics PLC NASDAQ:ADAP NASDAQ Depository Receipt
  Price Change % Change Price Bid Price Offer Price High Price Low Price Open Price Traded Last Trade
  0.02 1.68% 1.21 1.20 1.24 1.24 1.17 1.22 852,996 01:00:00

Statement of Changes in Beneficial Ownership (4)

17/05/2019 11:02pm

Edgar (US Regulatory)


FORM 4
[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).         
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
                                                                                  
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response...
0.5
                      
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
                      

1. Name and Address of Reporting Person *

Noble James
2. Issuer Name and Ticker or Trading Symbol

Adaptimmune Therapeutics PLC [ ADAP ]
5. Relationship of Reporting Person(s) to Issuer (Check all applicable)

__ X __ Director                      _____ 10% Owner
__ X __ Officer (give title below)      _____ Other (specify below)
Chief Executive Officer
(Last)          (First)          (Middle)

C/O ADAPTIMMUNE THERAPEUTICS PLC,, 60 JUBILEE AVENUE, MILTON PARK
3. Date of Earliest Transaction (MM/DD/YYYY)

5/16/2019
(Street)

ABINGDON, X0 OX14 4RX
(City)        (State)        (Zip)
4. If Amendment, Date Original Filed (MM/DD/YYYY)

 
6. Individual or Joint/Group Filing (Check Applicable Line)

_ X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Trans. Date 2A. Deemed Execution Date, if any 3. Trans. Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Ordinary Shares with a nominal value of GBP0.001 per share   5/16/2019     M    1773100   (1) A $0.143   (2) 1773100   (1) D    
Ordinary Shares with a nominal value of GBP0.001 per share                  12945700   (3) D    

Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Trans. Date 3A. Deemed Execution Date, if any 4. Trans. Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
6. Date Exercisable and Expiration Date 7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares

Explanation of Responses:
(1)  The ordinary shares whose purchase is reported on this line were obtained from the exercise of share options that were granted on March 20, 2015. The ordinary shares continue to be held by the Reporting Person.
(2)  The price reported in Column 4 of $0.143 per ordinary share is derived from the option purchase price paid on May 16, 2019 of GBP 0.112 per ordinary share.
(3)  The 12,945,700 ordinary shares reported in Column 5 include 1,773,100 ordinary shares reported in Column 4 as well as 9,972,600 ordinary shares held by the Reporting Person and 1,200,000 ordinary shares that are represented by 200,000 ADSs held by the Reporting Person. Each ADS represents six ordinary shares of the Issuer. The ordinary shares reported in Column 5 represent solely the ordinary shares beneficially owned by the Reporting Person. Additionally, the Reporting Person holds options covering an aggregate of 12,722,376 ordinary shares of the Issuer.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director 10% Owner Officer Other
Noble James
C/O ADAPTIMMUNE THERAPEUTICS PLC,
60 JUBILEE AVENUE, MILTON PARK
ABINGDON, X0 OX14 4RX
X
Chief Executive Officer

Signatures
/s/ James Noble 5/17/2019
** Signature of Reporting Person Date


Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4(b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.

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