Lo Francis's Form 4/A amendment
AmendedAdaptive Biotechnologies Corp (ADPT) · filed Jan 7, 2026
- Accession no.
- 0001780660-26-000002
- Filed
- Jan 7, 2026
- Trade date
- Dec 22, 2025
- Filing delay
- 16 days
- Rule 10b5-1 plan
- Checked
- Original filed
- Dec 29, 2025
This filing lists 4 non-derivative transactions and 3 derivative transactions. Open-market sales total $76.9K. It was filed 16 days after the trade.
This amendment replaces 0001780660-25-000003 (filed Dec 29, 2025).
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 |
|---|---|
| Lo FrancisCIK 0001780660 | Officer (Chief People 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 |
|---|---|---|---|---|---|---|---|---|
| Dec 22, 2025 | Common Stock | MOption exerciseAcquired | +1,100 | $7.80 | +$8,580 | 317,078 | Direct | |
| Dec 22, 2025 | Common Stock | MOption exerciseAcquired | +1,100 | $8.46 | +$9,306 | 318,178 | Direct | |
| Dec 22, 2025 | Common Stock | MOption exerciseAcquired | +2,194 | $3.99 | +$8,754.06 | 320,372 | Direct | |
| Dec 22, 2025 | Common Stock | SSaleDisposed | −4,394 | $17.50F2 | −$76,895 | 315,978 | 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 |
|---|---|---|---|---|---|---|---|---|
| Dec 22, 2025 | Common Stock | MOption exerciseDisposed | −1,100 | $0.00 | $0 | 112,150 | Direct | |
| Dec 22, 2025 | Common Stock | MOption exerciseDisposed | −1,100 | $0.00 | $0 | 108,076 | Direct | |
| Dec 22, 2025 | Common Stock | MOption exerciseDisposed | −2,194 | $0.00 | $0 | 107,981 | 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.
- F1
The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 15, 2025.
- F2
The price reported for this transaction is a weighted -average price. The shares were sold in multiple transactions ranging from $17.49 to $17.50, 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 option is fully vested and exercisable.
- F4
The options vested with respect to 1/4 of such shares on March 4, 2024, with 1/48 of such shares vesting thereafter at the end of each full month of continuous service until fully vested.
- F5
The options vested with respect to 1/4 of such shares on March 4, 2025, with 1/48 of such shares vesting thereafter at the end of each full month of continuous service until fully vested.