0001104659-23-075407.txt : 20230627 0001104659-23-075407.hdr.sgml : 20230627 20230627211546 ACCESSION NUMBER: 0001104659-23-075407 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230627 FILED AS OF DATE: 20230627 DATE AS OF CHANGE: 20230627 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Rawcliffe Adrian CENTRAL INDEX KEY: 0001555851 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37368 FILM NUMBER: 231048991 MAIL ADDRESS: STREET 1: 440 SOUTH BROAD STREET, UNIT 1906 CITY: PHILADELPHIA STATE: PA ZIP: 19146 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Adaptimmune Therapeutics PLC CENTRAL INDEX KEY: 0001621227 STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836] IRS NUMBER: 000000000 STATE OF INCORPORATION: X0 FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 60 JUBILEE AVENUE STREET 2: MILTON PARK CITY: ABINGDON, OXFORDSHIRE STATE: X0 ZIP: OX14 4RX BUSINESS PHONE: 44 1235 430000 MAIL ADDRESS: STREET 1: 60 JUBILEE AVENUE STREET 2: MILTON PARK CITY: ABINGDON, OXFORDSHIRE STATE: X0 ZIP: OX14 4RX FORMER COMPANY: FORMER CONFORMED NAME: Adaptimmune Ltd DATE OF NAME CHANGE: 20141001 4 1 tm2317417-5_4seq1.xml OWNERSHIP DOCUMENT X0407 4 2023-06-27 0 0001621227 Adaptimmune Therapeutics PLC ADAP 0001555851 Rawcliffe Adrian C/O ADAPTIMMUNE THERAPEUTICS PLC, 60 JUBILEE AVENUE, MILTON PARK ABINGDON X0 OX14 4RX UNITED KINGDOM 1 1 0 0 Chief Executive Officer 0 American Depositary Shares representing Ordinary Shares 2023-06-27 4 S 0 2333 0.92 D 3519 D Each American Depositary Share ("ADS") represents six ordinary shares, nominal value GBP 0.001 per ordinary share, of the Issuer. The ADSs were obtained from the exercise of approximately 25% of an RSU-style share option covering ordinary shares of the Issuer granted on June 27, 2019 and which have vested. Once vested, the RSU-style options must be exercised within a restricted period or they are forfeited. The exercise of the portion of these RSU-style share options and the sale reported in this Form 4 were effected pursuant to a Sell to Cover exercise implemented automatically in accordance with the Issuer's option plan, under which sufficient ADSs were sold by the Issuer to satisfy the Reporting Person's tax withholding obligations and associated sale costs. The residual ADSs are held by the Reporting Person. The price reported in Column 4 is the sale price per ADS. The ADSs reported in this Column 5 represent solely those residual ADSs held by the Reporting Person which result from the Sell to Cover exercise transaction reported on this Form 4. Additionally, the Reporting Person holds 155,103 ADSs and RSU-style options and other options covering an aggregate of 27,496,302 ordinary shares of the Issuer. /s/ Adrian George Rawcliffe 2023-06-27