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Adaptive Biotechnologies Corp — Director's Dealing 2019
Dec 27, 2019
31660_dirs_2019-12-27_2758d9ec-7a8d-4ebf-a106-7d4786096a37.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: Adaptive Biotechnologies Corp (ADPT)
CIK: 0001478320
Period of Report: 2019-12-24
Reporting Person: RUBINSTEIN JULIE (President)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2019-12-24 | Common Stock | M | 25000 | $0.33 | Acquired | 25000 | Direct |
| 2019-12-24 | Common Stock | M | 55000 | $0.33 | Acquired | 80000 | Direct |
| 2019-12-24 | Common Stock | S | 79500 | $30.09 | Disposed | 500 | Direct |
| 2019-12-24 | Common Stock | S | 500 | $30.61 | Disposed | 0 | Direct |
| 2019-12-26 | Common Stock | M | 45000 | $0.33 | Acquired | 45000 | Direct |
| 2019-12-26 | Common Stock | M | 35000 | $0.45 | Acquired | 80000 | Direct |
| 2019-12-26 | Common Stock | S | 80000 | $29.37 | Disposed | 0 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2019-12-24 | Stock Option (Right to Buy) | $0.33 | M | 25000 | Disposed | 2021-12-20 | Common Stock (25000) | Direct |
| 2019-12-24 | Stock Option (Right to Buy) | $0.33 | M | 55000 | Disposed | 2021-07-19 | Common Stock (55000) | Direct |
| 2019-12-26 | Stock Option (Right to Buy) | $0.33 | M | 45000 | Disposed | 2021-07-19 | Common Stock (45000) | Direct |
| 2019-12-26 | Stock Option (Right to Buy) | $0.45 | M | 35000 | Disposed | 2022-08-21 | Common Stock (35000) | Direct |
Footnotes
F1: The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 15, 2019.
F2: The price reported for this transaction is a weighted-average price. The shares were sold in multiple transactions ranging from $29.58 to 30.56, inclusive. The reporting person undertakes to provide to Adaptive Biotechnologies Corporation, any security holder of Adaptive Biotechnologies Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in any footnotes to this Form 4.
F3: The price reported for this transaction is a weighted-average price. The shares were sold in multiple transactions ranging from $28.91 to 29.73, inclusive.
F4: The option is fully vested and exercisable.