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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction 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 (Month/Day/Year) |
7. Title and Amount of Underlying Securities (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) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Sigal Charles Elliott 32 BREARLY ROAD PRINCETON, NJ 08540 |
X |
/s/ Charles Elliott Sigal | 05/18/2016 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | Dr. 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. |
(2) | The 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. |
(3) | The 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. |
(4) | The 269,100 Ordinary Shares comprise (i) 254,100 Ordinary Shares, and (ii) 15,000 Ordinary Shares represented by 2,500 ADSs. |
(5) | The 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. |
(6) | The 284,100 Ordinary Shares comprise (i) 254,100 Ordinary Shares, and (ii) 30,000 Ordinary Shares represented by 5,000 ADSs. |
(7) | The 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. |
(8) | The 299,100 Ordinary Shares comprise (i) 254,100 Ordinary Shares, and (ii) 45,000 Ordinary Shares represented by 7,500 ADSs. |
(9) | The 52,938 Ordinary Shares are represented by 8,823 ADSs. |