0001104659-21-001176.txt : 20210105 0001104659-21-001176.hdr.sgml : 20210105 20210105210051 ACCESSION NUMBER: 0001104659-21-001176 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210104 FILED AS OF DATE: 20210105 DATE AS OF CHANGE: 20210105 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Norry Elliot CENTRAL INDEX KEY: 0001798117 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37368 FILM NUMBER: 21508663 MAIL ADDRESS: STREET 1: 351 ROUSE BOULEVARD CITY: PHILADELPHIA STATE: PA ZIP: 19112 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 tm211506-2_4seq1.xml OWNERSHIP DOCUMENT X0306 4 2021-01-04 0 0001621227 Adaptimmune Therapeutics PLC ADAP 0001798117 Norry Elliot C/O ADAPTIMMUNE THERAPEUTICS PLC, 60 JUBILEE AVENUE, MILTON PARK ABINGDON X0 OX14 4RX UNITED KINGDOM 0 1 0 0 Chief Medical Officer American Depositary Shares representing Ordinary Shares 2021-01-04 4 S 0 845 5.3279 D 1392 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 January 4, 2019 and which vested on January 4, 2021. 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 a weighted average price. These ADSs were sold in multiple transactions at prices ranging from $5.265 to $5.45, inclusive. Upon request, the Reporting Person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission full information regarding the ADSs sold at each separate price within the range set forth in this footnote. 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 4,005 ADSs and RSU-style options and other options covering an aggregate of 1,113,560 ordinary shares of the Issuer. /s/ Elliot Norry 2021-01-05