0000899243-21-002235.txt : 20210115 0000899243-21-002235.hdr.sgml : 20210115 20210115200009 ACCESSION NUMBER: 0000899243-21-002235 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210113 FILED AS OF DATE: 20210115 DATE AS OF CHANGE: 20210115 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: George Adam D. CENTRAL INDEX KEY: 0001754239 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35892 FILM NUMBER: 21533514 MAIL ADDRESS: STREET 1: SOVEREIGN HOUSE, VISION PARK, HISTON CITY: CAMBRIDGE STATE: X0 ZIP: CB24 9BZ ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: GW PHARMACEUTICALS PLC CENTRAL INDEX KEY: 0001351288 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 000000000 FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: SOVEREIGN HOUSE STREET 2: VISION PARK CITY: HISTON, CAMBRIDGE CB24 9BZ STATE: X0 ZIP: 00000 BUSINESS PHONE: 44 1223 266800 MAIL ADDRESS: STREET 1: SOVEREIGN HOUSE STREET 2: VISION PARK CITY: HISTON, CAMBRIDGE CB24 9BZ STATE: X0 ZIP: 00000 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2021-01-13 1 0001351288 GW PHARMACEUTICALS PLC GWPH 0001754239 George Adam D. SOVEREIGN HOUSE, VISION PARK, HISTON CAMBRIDGE X0 CB24 9BZ UNITED KINGDOM 0 1 0 0 Secretary Ordinary Shares 2021-01-13 4 M 0 3636 0.0014 A 13636 D Ordinary Shares 2021-01-13 4 M 0 97008 0.0014 A 110644 D Ordinary Shares 2021-01-13 4 M 0 67704 3.72 A 178348 D Ordinary Shares 2021-01-13 4 M 0 99180 0.0014 A 277528 D Ordinary Shares 2021-01-13 4 M 0 132984 0.0014 A 410512 D Ordinary Shares 2021-01-13 4 M 0 78336 0.0014 A 488848 D Ordinary Shares 2021-01-13 4 M 0 5868 0.0014 A 494716 D Ordinary Shares 2021-01-13 4 M 0 5868 0.0014 A 500584 D Ordinary Shares 2021-01-13 4 M 0 5868 0.0014 A 506452 D Ordinary Shares 2021-01-13 4 M 0 5868 0.0014 A 512320 D Ordinary Shares 2021-01-13 4 M 0 96336 0.0014 A 608656 D Ordinary Shares 2021-01-13 4 M 0 77088 0.0014 A 685744 D Ordinary Shares 2021-01-13 4 S 0 181488 10.91 D 504256 D Ordinary Shares 2021-01-13 4 S 0 145200 11.00 D 359056 D Ordinary Shares 2021-01-13 4 S 0 222552 11.08 D 136504 D Ordinary Shares 2021-01-13 4 S 0 121764 11.15 D 14740 D Ordinary Shares 2021-01-13 4 S 0 4740 11.23 D 10000 D Share Options 0.0014 2021-01-13 4 M 0 3636 0.00 D 2019-06-24 2025-06-24 Ordinary Shares 3636 0 D Share Options 0.0014 2021-01-13 4 M 0 97008 0.00 D 2026-02-15 Ordinary Shares 97008 10 D Share Options 3.72 2021-01-13 4 M 0 67704 0.00 D 2019-02-15 2026-02-15 Ordinary Shares 67704 3 D Share Options 0.0014 2021-01-13 4 M 0 99180 0.00 D 2027-01-06 Ordinary Shares 99180 0 D Share Options 0.0014 2021-01-13 4 M 0 132984 0.00 D 2028-02-26 Ordinary Shares 132984 0 D Share Options 0.0014 2021-01-13 4 M 0 78336 0.00 D 2020-12-31 2029-03-01 Ordinary Shares 78336 0 D Share Options 0.0014 2021-01-13 4 M 0 5868 0.00 D 2020-03-01 2029-03-01 Ordinary Shares 5868 0 D Share Options 0.0014 2021-01-13 4 M 0 5868 0.00 D 2020-12-31 2029-03-01 Ordinary Shares 5868 0 D Share Options 0.0014 2021-01-13 4 M 0 5868 0.00 D 2020-12-31 2029-03-01 Ordinary Shares 5868 0 D Share Options 0.0014 2021-01-13 4 M 0 5868 0.00 D 2020-12-31 2029-03-01 Ordinary Shares 5868 0 D Share Options 0.0014 2021-01-13 4 M 0 96336 0.00 D 2020-12-31 2030-06-04 Ordinary Shares 96336 32112 D Share Options 0.0014 2021-01-13 4 M 0 77088 0.00 D 2020-12-31 2030-06-04 Ordinary Shares 77088 0 D Exercise of share options. Following the exercise, these shares were converted into American Depositary Shares of ("ADS") of the Issuer. Each ADS represents twelve ordinary shares of the Issuer. Converted from British Pounds Sterling to U.S. Dollars using currency ratio of 1.00 British Pound Sterling = 1.36 U.S. Dollars as of January 13, 2020. The sale reported was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 14, 2020. Represented by ADSs. Converted from price per ADS. The price reported in Column 4 is a weighted average price per ordinary share ($130.9153 per ADS). These shares were sold in multiple transactions at prices ranging from $130.48 per ADS (or $10.87 per ordinary share) to $131.44 per ADS (or $10.95 per ordinary share), inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range. Converted from price per ADS. The price reported in Column 4 is a weighted average price per ordinary share ($132.0454 per ADS). These shares were sold in multiple transactions at prices ranging from $130.48 per ADS (or $10.87 per ordinary share) to $132.48 per ADS (or $11.04 per ordinary share), inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range. Converted from price per ADS. The price reported in Column 4 is a weighted average price per ordinary share ($132.9121 per ADS). These shares were sold in multiple transactions at prices ranging from $132.50 per ADS (or $11.04 per ordinary share) to $133.48 per ADS (or $11.12 per ordinary share), inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range. Converted from price per ADS. The price reported in Column 4 is a weighted average price per ordinary share ($133.7875 per ADS). These shares were sold in multiple transactions at prices ranging from $133.50 per ADS (or $11.13 per ordinary share) to $134.48 per ADS (or $11.21 per ordinary share), inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range. Converted from price per ADS. The price reported in Column 4 is a weighted average price per ordinary share ($134.7871 per ADS). These shares were sold in multiple transactions at prices ranging from $134.54 per ADS (or $11.21 per ordinary share) to $134.97 per ADS (or $11.25 per ordinary share), inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range. 9,624 shares vested on February 15, 2020. The remaining vested on February 15, 2019. 6,468 shares vested on December 31, 2020 (accelerated due to retirement of the reporting person.) The remaining vested on January 6, 2020. 7,680 shares vested on February 26, 2019; 7,668 shares vested on February 26, 2020; the remained vested on December 31, 2020 (accelerated due to retirement of the reporting person.) Accelerated due to retirement of the reporting person. Effective December 31, 2020, the Reporting Person is no longer an officer of the Issuer. /s/ Adam D. George 2021-01-15