Statement of Changes in Beneficial Ownership (4)
04 June 2021 - 6:32AM
Edgar (US Regulatory)
FORM 4
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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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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1. Name and Address of Reporting Person
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Alleva Lawrence M |
2. Issuer Name and Ticker or Trading Symbol
Adaptimmune Therapeutics PLC
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ADAP
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
C/O ADAPTIMMUNE THERAPEUTICS PLC,, 60 JUBILEE AVE, MILTON PARK |
3. Date of Earliest Transaction
(MM/DD/YYYY)
6/1/2021 |
(Street)
ABINGDON, X0 OX14 4RX
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Ordinary Shares with a nominal value of GBP0.001 per share (1) | 6/1/2021 | | P | | 12600 (2) | A | $0.79 (3) | 12600 (2) | I | Held by Trust |
Ordinary Shares with a nominal value of GBP0.001 per share | | | | | | | | 60180 (4) | I | Held by Trust |
Ordinary Shares with a nominal value of GBP0.001 per share | | | | | | | | 70584 (5) | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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 | 7. Title and Amount of Securities Underlying Derivative Security (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) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
(1) | The ordinary shares whose purchase is reported on this line are represented by American Depositary Shares ("ADS") and are held in the form of ADSs by the Lawrence M. Alleva Revocable Trust. Each ADS represents six ordinary shares of Adaptimmune Therapeutics plc. |
(2) | The 12,600 ordinary shares reported in Column 4 and Column 5 are represented by 2,100 ADSs. |
(3) | The price reported in Column 4 of $0.79 per ordinary share is derived from the weighted average purchase price paid on June 1, 2021 of $4.745 per ADS divided by six. |
(4) | The 60,180 ordinary shares reported in Column 5 are represented by 10,030 ADSs. These shares are held in the form of ADSs by the Lawrence M. Alleva Revocable Trust. |
(5) | The 70,584 ordinary shares reported in Column 5 are represented by 11,764 ADSs. These shares are held in the form of ADSs by Mr. Alleva. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Alleva Lawrence M C/O ADAPTIMMUNE THERAPEUTICS PLC, 60 JUBILEE AVE, MILTON PARK ABINGDON, X0 OX14 4RX | X |
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Signatures
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/s/ Lawrence M. Alleva | | 6/3/2021 |
**Signature of Reporting Person | Date |
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