Form Type: 4

SEC EDGAR Link
Acccession Number:0001104659-20-004420
Date:2020-01-14
Issuer: ADAPTIMMUNE THERAPEUTICS PLC (ADAP)
Original Submission Date:

Reporting Person:

RAWCLIFFE ADRIAN
C/O ADAPTIMMUNE THERAPEUTICS PLC,
60 JUBILEE AVENUE, MILTON PARK ABINGDON, X0 OX14 4RX

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
AMERICAN DEPOSITARY SHARES REPRESENTING ORDINARY SHARES 2020-01-14 S 3,236 d $5.13 3,166 direct
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
Footnotes
IDfootnote
f1 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 12, 2018 and which vested on january 12, 2020. 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.
f2 the price reported in column 4 is a weighted average price. these adss were sold in multiple transactions at prices ranging from $5.12 to $5.18, 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.
f3 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 9,122 adss and rsu-style options and other options covering an aggregate of 9,784,788 ordinary shares of the issuer.

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