# EDGAR Filing Document

**Accession Number:** 0001291937
**File Stem:** 0001104659-23-004377
**Filing Date:** 2023-1
**Character Count:** 7498
**Document Hash:** 720694031b4cae083c385c8e20116041
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001104659-23-004377.hdr.sgml**: 20230117

**ACCESSION NUMBER**: 0001104659-23-004377

**CONFORMED SUBMISSION TYPE**: 4

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20230117

**FILED AS OF DATE**: 20230117

**DATE AS OF CHANGE**: 20230117

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** Bertrand William C JR
- **CENTRAL INDEX KEY:** 0001291937

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-37368
- **FILM NUMBER:** 23532739

**MAIL ADDRESS:**
- **STREET 1:** C/O ADAPTIMMUNE THERAPEUTICS PLC
- **STREET 2:** 60 JUBILEE AVE, MILTON PARK
- **CITY:** ABINGDON, OXFORDSHIRE
- **STATE:** X0
- **ZIP:** OX14 4RX
**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

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM 4

### STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

[ ] Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>Bertrand William C JR<br><sub>(Last) (First) (Middle)</sub><br>C/O ADAPTIMMUNE THERAPEUTICS PLC,<br>60 JUBILEE AVENUE, MILTON PARK<br><sub>(Street)</sub><br>ABINGDON, X0 OX14 4RX<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2023-01-17 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[ ] Director [ ] 10% Owner<br>[X] Officer (give title below) [ ] Other (specify below)<br>_Chief Operating Officer_ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>Adaptimmune Therapeutics PLC [ ADAP] ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[X] Form filed by One Reporting Person<br>[ ] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | 3. Transaction Code (V) | 3. Transaction Code (V) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | Code | V | Amount | (A) or (D) | Price | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
|  |  |  |  |  |  |  |  |  |  |  |

---

## Table II - Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | 4. Transaction Code (V) | 4. Transaction Code (V) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 6. Date Exercisable and Expiration Date | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Underlying Securities | 7. Title and Amount of Underlying Securities | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| Option to purchase Ordinary Shares | 0.31<sup>(1)</sup> | 2023-01-17 |  | A |  | 1407072 |  | <sup>(2)</sup> | 2033-01-17 | Ordinary Shares | 1407072 | $0 | 1407072 | D |  |
| Option to purchase Ordinary Shares | 0.0012<sup>(3)</sup> | 2023-01-17 |  | A |  | 314256 |  | <sup>(4)</sup> | <sup>(5)</sup> | Ordinary Shares | 314256 | $0 | 314256 | D |  |
| Option to purchase Ordinary Shares | 0.0012<sup>(6)</sup> | 2023-01-17 |  | A |  | 202800 |  | 2024-01-17 | 2025-03-15 | Ordinary Shares | 202800 | $0 | 202800 | D |  |

---

### Footnotes:

(1) The exercise price was converted from GBP0.26 based on an exchange rate of U.S.$1.219333 to GBP1.00. The actual exercise price will be the pounds sterling amount.

(2) Exercisable as to 351,768 Ordinary Shares on January 17, 2024 and will be exercisable as to the remainder in monthly installments of 29,310 Ordinary Shares on the seventeenth of each month from February 17, 2024 through December 17, 2026 and 29,454 Ordinary Shares on January 17, 2027.

(3) The exercise price was converted from GBP0.001, being the nominal value of an ordinary share, based on an exchange rate of U.S.$1.219333 to GBP1.00. The actual exercise price will be the pounds sterling amount.

(4) Exercisable as to 78,564 Ordinary Shares on January 17, 2024 and will be exercisable as to the remainder in annual installments of 78,564 Ordinary Shares on the seventeenth of each January from January 17, 2025 through January 17, 2027.

(5) 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.

(6) The exercise price was converted from GBP0.001, being the nominal value of an ordinary share, based on an exchange rate of $U.S. 1.219333 to GBP1.00. The actual exercise price will be the pounds sterling amount.

**Signature:** /s/ William Charles Bertrand  
**Date:** 2023-01-17

### Remarks:

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.

* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).

** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).

Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.

**Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.**