Cohen Chad M's Form 4 filing
Adaptive Biotechnologies Corp (ADPT) · filed Aug 12, 2021
- Accession no.
- 0001209191-21-051275
- Filed
- Aug 12, 2021
- Trade date
- Aug 10-11, 2021
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 5 non-derivative transactions and 2 derivative transactions. Open-market sales total $511.0K. It was filed 2 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Cohen Chad MCIK 0001524314 | Officer (Chief Financial Officer) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Aug 10, 2021 | Common Stock | MOption exerciseAcquired | +5,000 | $6.55 | +$32,750 | 26,604 | Direct | |
| Aug 10, 2021 | Common Stock | SSaleDisposed | −5,000 | $35.00F2 | −$175,000 | 21,604 | Direct | |
| Aug 11, 2021 | Common Stock | MOption exerciseAcquired | +10,000 | $6.55 | +$65,500 | 31,604 | Direct | |
| Aug 11, 2021 | Common Stock | SSaleDisposed | −8,738 | $33.48F3 | −$292,548.24 | 22,866 | Direct | |
| Aug 11, 2021 | Common Stock | SSaleDisposed | −1,262 | $34.47F4 | −$43,501.14 | 21,604 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Aug 10, 2021 | Common Stock | MOption exerciseDisposed | −5,000 | $0.00 | $0 | 85,000 | Direct | |
| Aug 11, 2021 | Common Stock | MOption exerciseDisposed | −10,000 | $0.00 | $0 | 75,000 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F2
The price reported for this transaction is a weighted-average price. The shares were sold in multiple transactions ranging from $34.79 to 35.345, 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.
Referenced by the price of 1 transaction in Table I.
- F3
The price reported for this transaction is a weighted-average price. The shares were sold in multiple transactions ranging from $33.14 to 34.11, inclusive.
Referenced by the price of 1 transaction in Table I.
- F4
The price reported for this transaction is a weighted-average price. The shares were sold in multiple transactions ranging from $34.26 to 34.58, inclusive.
Referenced by the price of 1 transaction in Table I.