F-6EF 1 e618633_f6ef-adaptimmune.htm

 

As filed with the Securities and Exchange Commission on August 30, 2019 Registration No. 333  -   

 

 

 

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

 

FORM F-6

REGISTRATION STATEMENT

UNDER

THE SECURITIES ACT OF 1933 FOR AMERICAN DEPOSITARY SHARES EVIDENCED BY

AMERICAN DEPOSITARY RECEIPTS

 

 

 

Adaptimmune Therapeutics plc

(Exact name of issuer of deposited securities as specified in its charter)

 

 

 

[N/A]

(Translation of issuer’s name into English)

 

 

 

England and Wales

(Jurisdiction of incorporation or organization of issuer)

 

 

 

CITIBANK, N.A.

(Exact name of depositary as specified in its charter)

 

 

 

388 Greenwich Street

New York, New York 10013

(877) 248-4237

(Address, including zip code, and telephone number, including area code, of depositary’s principal executive offices)

 

 

 

ADAPTIMMUNE LLC

351 Rouse Boulevard

The Navy Yard

Philadelphia, PA 19112

United States of America

(215) 825 9260

(Address, including zip code, and telephone number, including area code, of agent for service)

 

 

Copies to:

 

David S. Bakst, Esq.
Mayer Brown LLP
1221 Avenue of the Americas
New York, New York 10020
(212) 506-2500

 

Herman H. Raspé, Esq.

Patterson Belknap Webb & Tyler LLP
1133 Avenue of the Americas
New York, New York 10036

(212) 336-2301

 

 

 

It is proposed that this filing become effective under Rule 466:

 ☒

immediately upon filing.

   

on (Date) at (Time).

 

If a separate registration statement has been filed to register the deposited shares, check the following box: ☒

 

 

CALCULATION OF REGISTRATION FEE

 

Title of Each Class of
Securities to be Registered
Amount to be
Registered

Proposed Maximum

Aggregate Price Per Unit*

Proposed Maximum

Aggregate Offering Price**

Amount of

Registration Fee

 

American Depositary Shares, each representing six (6) fully paid ordinary shares of Adaptimmune Therapeutics plc 200,000,000 American Depositary Shares $5.00 $10,000,000 $1,212.00
 

*Each unit represents 100 American Depositary Shares.
**Estimated solely for the purpose of calculating the registration fee. Pursuant to Rule 457(k), such estimate is computed on the basis of the maximum aggregate fees or charges to be imposed in connection with the issuance of American Depositary Shares.

 

 

This Registration Statement may be executed in any number of counterparts, each of which shall be deemed an original, and all of such counterparts together shall constitute one and the same instrument.

 

ii

 

PART I

 

INFORMATION REQUIRED IN PROSPECTUS

 

Cross Reference Sheet

 

Item 1.DESCRIPTION OF SECURITIES TO BE REGISTERED

 

Item Number and Caption

 

Location in Form of American

Depositary Receipt (“Receipt”)
Filed Herewith as Prospectus

         
1. Name of Depositary and address of its principal executive office   Face of Receipt -  Introductory Article.
       
2. Title of Receipts and identity of deposited securities   Face of Receipt  - Top Center.
         
  Terms of Deposit:    
       
  (i) The amount of deposited securities represented by one American Depositary Share ("ADSs")   Face of Receipt  - Upper right corner.
         
  (ii) The procedure for voting, if any, the deposited securities   Reverse of Receipt  - Paragraphs (16) and (17).
         
  (iii) The collection and distribution of dividends   Reverse of Receipt - Paragraph (14).
         
  (iv) The transmission of notices, reports and proxy soliciting material   Face of Receipt  - Paragraph (13);
Reverse of Receipt - Paragraph (16).
         
  (v) The sale or exercise of rights  

Reverse of Receipt – Paragraphs (14) and (16).

         
  (vi) The deposit or sale of securities resulting from dividends, splits or plans of reorganization  

Face of Receipt - Paragraphs (3) and (6);

Reverse of Receipt - Paragraphs (14) and (18).

         
  (vii) Amendment, extension or termination of the deposit agreement   Reverse of Receipt - Paragraphs (22) and (23) (no provision for extensions).
         
  (viii) Rights of holders of Receipts to inspect the transfer books of the Depositary and the list of holders of ADSs   Face of Receipt - Paragraph (13).

 

I-1

 

Item Number and Caption  

Location in Form of American

Depositary Receipt (“Receipt”)

Filed Herewith as Prospectus

         
  (ix) Restrictions upon the right to deposit or withdraw the underlying securities   Face of Receipt – Paragraphs (2), (3), (4), (6), (7), (9) and (10).
         
  (x) Limitation upon the liability of the Depositary  

Face of Receipt - Paragraph (7);

Reverse of Receipt - Paragraphs (19) and (20).

         
3. Fees and charges which may be imposed directly or indirectly on holders of ADSs   Face of Receipt - Paragraph (10).
         
Item 2.           AVAILABLE INFORMATION   Face of Receipt - Paragraph (13).

 

The Company is subject to the periodic reporting requirements of the United States Securities Exchange Act of 1934, as amended, and, accordingly, files certain reports with, and submits certain reports to, the United States Securities and Exchange Commission (the “Commission”). These reports can be retrieved from the Commission’s internet website (www.sec.gov), and can be inspected and copied at the public reference facilities maintained by the Commission at 100 F Street, N.E., Washington D.C. 20549.

 

I-2

 

PROSPECTUS

 

The Prospectus consists of the form of American Depositary Receipt included as Exhibit A to the Deposit Agreement filed as Exhibit (a) to this Registration Statement on Form F-6 and is incorporated herein by reference.

 

I-3

 

PART II

 

INFORMATION NOT REQUIRED IN PROSPECTUS

 

Item 3.EXHIBITS

 

(a)Deposit Agreement, dated as of May 11, 2015, by and among Adaptimmune Therapeutics plc (the “Company”), Citibank, N.A., as depositary (the “Depositary”), and all Holders and Beneficial Owners of American Depositary Shares issued thereunder (“Deposit Agreement”). — Previously filed as Exhibit (a) to Registration Statement on Form F-6 (Reg. No. 333-212714), filed with the Commission on July 28, 2016, and incorporated herein by reference.

 

(b)Any other agreement to which the Depositary is a party relating to the issuance of the American Depositary Shares registered hereunder or the custody of the deposited securities represented thereby. — None.

 

(c)Every material contract relating to the deposited securities between the Depositary and the issuer of the deposited securities in effect at any time within the last three years. — None.

 

(d)Opinion of counsel for the Depositary as to the legality of the securities to be registered. — Filed herewith as Exhibit (d).

 

(e)Certificate under Rule 466. — Filed herewith as Exhibit (e).

 

(f)Powers of Attorney for certain officers and directors and the authorized representative of the Company. — Set forth on the signature pages hereto.

 

II-1

 

Item 4.UNDERTAKINGS

 

(a)The Depositary undertakes to make available at the principal office of the Depositary in the United States, for inspection by holders of ADSs, any reports and communications received from the issuer of the deposited securities which are both (1) received by the Depositary as the holder of the deposited securities, and (2) made generally available to the holders of the underlying securities by the issuer.

 

(b)If the amount of fees charged is not disclosed in the prospectus, the Depositary undertakes to prepare a separate document stating the amount of any fee charged and describing the service for which it is charged and to deliver promptly a copy of such fee schedule without charge to anyone upon request. The Depositary undertakes to notify each registered holder of an ADS thirty (30) days before any change in the fee schedule.

 

II-2

 

SIGNATURES

 

Pursuant to the requirements of the Securities Act of 1933, as amended, Citibank, N.A., acting solely on behalf of the legal entity created by the Deposit Agreement, by and among Adaptimmune Therapeutics plc, Citibank, N.A., as depositary, and all Holders and Beneficial Owners of American Depositary Shares to be issued thereunder, certifies that it has reasonable grounds to believe that all the requirements for filing on Form F-6 are met and has duly caused this Registration Statement on Form F-6 to be signed on its behalf by the undersigned, thereunto duly authorized, in the City of New York, State of New York, on the 30th day of August, 2019.

 

  Legal entity created by the Deposit Agreement under which the American Depositary Shares registered hereunder are to be issued, each American Depositary Share representing six (6) fully paid ordinary shares of Adaptimmune Therapeutics plc
     
  CITIBANK, N.A., solely in its capacity as Depositary
     
  By: /s/ Keith Galfo
    Name: Keith Galfo
    Title: Vice President

 

II-3

 

SIGNATURES

 

Pursuant to the requirements of the Securities Act of 1933, as amended, Adaptimmune Therapeutics plc certifies that it has reasonable grounds to believe that all the requirements for filing on Form F-6 are met and has duly caused this Registration Statement on Form F-6 to be signed on its behalf by the undersigned thereunto duly authorized, in Oxfordshire, England, on August 30, 2019.

 

  Adaptimmune Therapeutics plc
     
  By: /s/ Adrian Rawcliffe
  Name: Adrian Rawcliffe
  Title: Chief Financial Officer

 

II-4

 

POWERS OF ATTORNEY

 

KNOW ALL PERSONS BY THESE PRESENTS, that each person whose signature appears below constitutes and appoints James Noble and Adrian Rawcliffe, and each of them, as his or her true and lawful attorney-in-fact and agent, with full power of substitution and resubstitution, for him or her and in his or her name, place and stead, in any and all capacities, to sign any and all amendments to this Registration Statement, and to file the same, with all exhibits thereto, and other documents in connection therewith, with the Securities and Exchange Commission, granting unto said attorneys-in-fact and agents, and each of them, full power and authority to do and perform each and every act and thing requisite and necessary to be done in connection therewith, as fully to all intents and purposes as he or she might or could do in person, hereby ratifying and confirming all that said attorneys-in-fact and agents, or any of them or their or his substitute or substitutes, may lawfully do or cause to be done by virtue hereof.

 

Pursuant to the requirements of the Securities Act of 1933, this Registration Statement has been signed by the following persons on August 30, 2019, in the capacities indicated.

 

Name   Title
     

/s/ James Noble

 

Chief Executive Officer and Director

James Noble   (Principal Executive Officer)
     

/s/ Adrian Rawcliffe

 

Chief Financial Officer

Adrian Rawcliffe   (Principal Accounting and Financial Officer)
     

/s/ David M. Mott

  Chairman of the Board of Directors
David M. Mott    
     

/s/ Lawrence M. Alleva

  Director
Lawrence M. Alleva    
     

/s/ Ali Behbahani, M.D.

  Director
Ali Behbahani, M.D.    
     

/s/ Barbara Duncan

  Director
Barbara Duncan    
     

/s/ John Furey

  Director
John Furey    
     

/s/ Giles Kerr

  Director
Giles Kerr    
     

/s/ Elliott Sigal, MD, PhD

  Director
Elliott Sigal, MD, PhD    
     

/s/ Tal Zaks, MD, PhD

  Director
Tal Zaks, MD, PhD    

 

II-5

 

SIGNATURE OF AUTHORIZED U.S. REPRESENTATIVE OF THE REGISTRANT

 

Pursuant to the Securities Act, the undersigned, the duly authorized representative in the U.S. of Adaptimmune Therapeutics plc, has signed this Registration Statement or amendment thereto on August 30, 2019.

 

  ADAPTIMMUNE LLC
   
  By: /s/ Adrian Rawcliffe
    Name: Adrian Rawcliffe
    Title: Chief Financial Officer

 

II-6

 

Index to Exhibits

 

Exhibit Document

Sequentially

Numbered Page

     
(d) Opinion of counsel to the Depositary  
     
(e) Certificate under Rule 466