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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 | |
Noble James C/O ADAPTIMMUNE THERAPEUTICS PLC, 60 JUBILEE AVENUE, MILTON PARK ABINGDON, X0 OX14 4RX |
X | Chief Executive Officer |
/s/ James Noble | 05/17/2019 | |
**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) | 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. |