Adaptimmune Therapeutics PLC — Director's Dealing 2020

Jan 14, 2020

SEC Form 3 — Initial Statement of Beneficial Ownership

Issuer: Adaptimmune Therapeutics PLC (ADAP)
CIK: 0001621227
Period of Report: 2020-01-13

Reporting Person: Norry Elliot (Chief Medical Officer)

Holdings (Non-Derivative)

Security	Shares	Ownership
Ordinary Shares with a nominal value of GBP0.001 per share	2679	Direct

Holdings (Derivative)

Security	Exercise Price	Expiration	Underlying	Shares	Ownership
Option to purchase Ordinary Shares	$1.28	2026-01-08	Ordinary Shares (200000)		Direct
Option to purchase Ordinary Shares	$0.72	2027-01-13	Ordinary Shares (63024)		Direct
Option to purchase Ordinary Shares	$0.81	2027-07-07	Ordinary Shares (300000)		Direct
Option to purchase Ordinary Shares	$1.30	2028-01-12	Ordinary Shares (79824)		Direct
Option to purchase Ordinary Shares	$0.0014		Ordinary Shares (40266)		Direct
Option to purchase Ordinary Shares	$0.0013		Ordinary Shares (40266)		Direct
Option to purchase Ordinary Shares	$0.89	2029-01-04	Ordinary Shares (79824)		Direct

Footnotes

F1: Represented by 2,679 American Depositary Shares ("ADS") held by Dr. Norry. Dr. Norry holds these ordinary shares in the form of ADSs. Each ADS represents six ordinary shares, nominal value GBP 0.001 per ordinary share, of the Issuer.

F2: 200,000 Ordinary Shares granted January 18, 2016, which are fully vested and exercisable (vesting start date is deemed to be July 1, 2015).

F3: The exercise price was converted from GBP0.89 based on an exchange rate of U.S.$1.4309 to GBP1.00. The actual exercise price will be the pounds sterling amount.

F4: Exercisable as to 15,756 Ordinary Shares on January 13, 2018 and will be exercisable as to the remainder in monthly installments of 1,313 Ordinary Shares on the thirteenth of each month from February 13, 2018 through January 13, 2021.

F5: The exercise price was converted from GBP0.59 based on an exchange rate of U.S.$1.2219 to GBP1.00. The actual exercise price will be the pounds sterling amount.

F6: Exercisable as to 75,000 Ordinary Shares on July 7, 2018 and will be exercisable as to the remainder in monthly installments of 6,250 Ordinary Shares on the seventh of each month from August 7, 2018 through July 7, 2021.

F7: The exercise price was converted from GBP0.62 based on an exchange rate of U.S.$1.2949 to GBP1.00. The actual exercise price will be the pounds sterling amount.

F8: Exercisable as to 19,956 Ordinary Shares on January 12, 2019 and will be exercisable as to the remainder in monthly installments of 1,663 Ordinary Shares on the twelfth of each month from February 12, 2019 through January 12, 2022.

F9: The exercise price was converted from GBP0.96 based on an exchange rate of U.S.$1.3542 to GBP1.00. The actual exercise price will be the pounds sterling amount.

F10: Exercisable as to 13,422 Ordinary Shares on January 12, 2020 and will be exercisable as to the remainder in annual installments of 13,422 Ordinary Shares on the twelfth of each January from January 12, 2021 through January 12, 2022.

F11: The expiration date of each annual installment of ordinary shares is March 15 of the calendar year following the year in which that installment becomes exercisable.

F12: The exercise price was converted from GBP0.001 based on an exchange rate of U.S.$1.3542 to GBP1.00. The actual exercise price will be the pounds sterling amount.

F13: Exercisable as to 13,422 Ordinary Shares on January 4, 2021 and will be exercisable as to the remainder in annual installments of 13,422 Ordinary Shares on the fourth of each January from January 4, 2022 through January 4, 2023.

F14: The expiration date of each annual installment of ordinary shares is March 15 of the calendar year following the year in which that installment becomes exercisable.

F15: The exercise price was converted from GBP0.001, being the nominal value of an ordinary share, based on an exchange rate of U.S.$1.2633 to GBP1.00. The actual exercise price will be the pounds sterling amount.

F16: Exercisable as to 19,956 Ordinary Shares on January 4, 2020 and will be exercisable as to the remainder in monthly installments of 1,663 Ordinary Shares on the fourth of each month from February 4, 2020 through January 4, 2023.

F17: The exercise price was converted from GBP0.70. based on an exchange rate of U.S.$1.2633 to GBP1.00. The actual exercise price will be the pounds sterling amount.