Allen Andrew R

SEC source: 0001193125-26-276056 · ownership.xml · derivative · entry 1

Allen Andrew R · CIK 0001374539 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 21,781

Underlying: Common Stock · 21,781 shares

Expires 2026-06-16

F1 · derivative.exercise_date: The option represents a right to purchase a total of 21,781 shares of the Issuer's Common Stock, which shall vest in full on the earlier of (i) June 16, 2027 or (ii) the date of the Issuer's next annual meeting, subject to the Reporting Person's continued service as a director on such vesting date.

SEC source: 0000950170-25-106029 · ownership.xml · derivative · entry 1

Allen Andrew R · CIK 0001374539 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 79,456

Underlying: Common Stock · 79,456 shares

Expires 2035-08-07

F1 · derivative.exercise_date: The option represents a right to purchase a total of 79,456 shares of the Issuer's common stock, which shall vest as to one-third of the shares underlying the option on each of the first, second and third anniversaries of the grant date of the award, subject to the Reporting Person's continued service as a director on each such vesting date.

SEC source: 0001104659-24-076887 · tm2418639-1_4seq1.xml · derivative · entry 1

Allen Andrew R · CIK 0001374539 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 660,000

Underlying: Ordinary Shares · 660,000 shares

Expires 2034-07-01

F1 · derivative.exercise_price: The exercise price was converted from GBP0.13 based on an exchange rate of $U.S. 1.263714 to GBP1.00. The actual exercise price will be the pounds sterling amount.

SEC source: 0001415889-24-018275 · form4-06272024_010655.xml · nonDerivative · entry 2

Allen Andrew R · CIK 0001374539 · Director · PRESIDENT AND CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 985,360

F3 · kind: The reported transaction represents a bona fide gift for no consideration of 325,000 shares of the issuer's Common Stock to from the direct beneficial ownership of the reporting person to the Allen 2024 Gift Trust, a revocable trust for which the reporting person serves as a co-trustee.

SEC source: 0001415889-24-018275 · form4-06272024_010655.xml · nonDerivative · entry 1

Allen Andrew R · CIK 0001374539 · Director · PRESIDENT AND CEO

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 1,124,275

F1 · kind: The reported transaction represents a bona fide gift for no consideration of the following shares of the issuer's Common Stock to the direct beneficial ownership of the reporting person: (i) 162,649 shares from the Allen 2022 Annuity Trust and (ii) 162,351 shares from The Allen Revocable Trust dated 12/19/2013.

F2 · ownership.nature: The shares are directly held by the Allen 2022 Annuity Trust and The Allen Revocable Trust dated 12/19/2013 (collectively, the "Trusts") for which the reporting person serves as a co-trustee. The reporting person disclaims beneficial ownership of the shares held by the Trusts except to the extent of his pecuniary interest therein.

SEC source: 0001415889-24-013657 · form4-05182024_010523.xml · nonDerivative · entry 2

Allen Andrew R · CIK 0001374539 · Director · PRESIDENT AND CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 985,360

F3 · kind: The sale of shares is for the sole purpose of covering the Reporting Person's tax liability with respect to the settlement of PSUs.

F4 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.735 to $0.7616 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, 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 range set forth in this footnote.

SEC source: 0001415889-24-013657 · form4-05182024_010523.xml · derivative · entry 4

Allen Andrew R · CIK 0001374539 · Director · PRESIDENT AND CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 615,000

Underlying: Common Stock · 615,000 shares

Expires 2034-05-14

F6 · derivative.exercise_date: The option vests as to 1/2 of the total grant on September 30, 2024, with the remainder of grant vesting on September 30, 2025, subject to the continued service of the Reporting Person on each vesting date.

SEC source: 0001415889-24-013657 · form4-05182024_010523.xml · nonDerivative · entry 1

Allen Andrew R · CIK 0001374539 · Director · PRESIDENT AND CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,009,623

F1 · shares: Represents Performance Stock Units ("PSUs") granted on March 22, 2024 that were earned by the Reporting Person as a result of the achievement of certain performance criteria as certified by the Issuer's Board of Directors on May 15, 2024. The PSUs vest over one year; 1/2 vested on May 15, 2024, and thereafter the remaining 1/2 will vest on May 15, 2025, subject to the continuing service of the Reporting Person on such vesting date. Each PSU represents a contingent right to receive one share of the Issuer's Common Stock.

F2 · balance_after: Includes 870,362 Restricted Stock Units ("RSUs") and PSUs which are subject to vesting.

SEC source: 0001415889-24-002702 · form4-02052024_110236.xml · derivative · entry 3

Allen Andrew R · CIK 0001374539 · Director · PRESIDENT AND CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 615,000

Underlying: Common Stock · 615,000 shares

Expires 2034-01-31

F4 · derivative.exercise_date: The option vests as to 1/24th of the total grant monthly beginning February 1, 2024 until such time as the option is 100% vested, subject to the continued service of the Reporting Person on each vesting date.

SEC source: 0001415889-24-002702 · form4-02052024_110236.xml · nonDerivative · entry 1

Allen Andrew R · CIK 0001374539 · Director · PRESIDENT AND CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 899,345

F1 · shares: Represents Restricted Stock Units ("RSUs") of which 1/2 vests on the first anniversary of the grant date, with the remainder of grant vesting on the second anniversary of the grant date, subject to the continued service of the Reporting Person on each vesting date. Each RSU represents a contingent right to receive one share of the Issuer's Common Stock.

F2 · balance_after: Includes 781,145 RSUs which are subject to vesting.

SEC source: 0001104659-23-078197 · tm2320409-9_4seq1.xml · derivative · entry 6

Allen Andrew R · CIK 0001374539 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 152,376

Underlying: Ordinary Shares · 152,376 shares

Expires 2032-12-14

F1 · derivative.exercise_price: Pursuant to the terms of the Agreement and Plan of Merger, dated as of March 5, 2023, as amended by Amendment No. 1 to Agreement and Plan of Merger, dated as of April 5, 2023 (the "Merger Agreement"), by and among the Issuer, CM Merger Sub, Inc. ("Merger Sub") and TCR2 Therapeutics, Inc. ("TCRR"), among other things, Merger Sub was merged with and into TCRR (the "Merger") with TCRR surviving the Merger as a wholly-owned subsidiary of the Issuer. Immediately prior to the effective time of the Merger, all outstanding and unexercised options to acquire shares of TCRR common stock (each, a "TCRR Option") were assumed by the Issuer and substituted for an option to purchase ordinary shares of the Issuer (each such share, an "Ordinary Share") (each such option, an "Adjusted Option"), with an exercise price equal to (A) the exercise price of such TCRR Option divided by (B) the product of 1.5117 multiplied by six (such product, the "Ordinary Share Exchange Ratio").

F2 · derivative.exercise_price: The number of Ordinary Shares subject to the Adjusted Option is equal to (i) the Ordinary Share Exchange Ratio multiplied by (ii) the total number of sharesof TCRR common stock subject to such TCRR Option. Each Adjusted Option was granted to the Reporting Person on the date set out in Column 3.

F11 · derivative.exercise_price: The exercise price was converted from GBP0.09, based on an exchange rate of $U.S. 1.2734 to GBP1.00. The actual exercise price will be the pounds sterling amount.

F12 · derivative.exercise_date: Will be exercisable as to 38,094 Ordinary Shares on December 15, 2023 and will be exercisable as to the remainder in monthly installments of 4,758 Ordinary Shares on the fifteenth of each month from January 15, 2024 through November 15, 2025 and 4,848 Ordinary Shares on December 15, 2025.

SEC source: 0001104659-23-078197 · tm2320409-9_4seq1.xml · derivative · entry 5

Allen Andrew R · CIK 0001374539 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 109,746

Underlying: Ordinary Shares · 109,746 shares

Expires 2031-12-08

F1 · derivative.exercise_price: Pursuant to the terms of the Agreement and Plan of Merger, dated as of March 5, 2023, as amended by Amendment No. 1 to Agreement and Plan of Merger, dated as of April 5, 2023 (the "Merger Agreement"), by and among the Issuer, CM Merger Sub, Inc. ("Merger Sub") and TCR2 Therapeutics, Inc. ("TCRR"), among other things, Merger Sub was merged with and into TCRR (the "Merger") with TCRR surviving the Merger as a wholly-owned subsidiary of the Issuer. Immediately prior to the effective time of the Merger, all outstanding and unexercised options to acquire shares of TCRR common stock (each, a "TCRR Option") were assumed by the Issuer and substituted for an option to purchase ordinary shares of the Issuer (each such share, an "Ordinary Share") (each such option, an "Adjusted Option"), with an exercise price equal to (A) the exercise price of such TCRR Option divided by (B) the product of 1.5117 multiplied by six (such product, the "Ordinary Share Exchange Ratio").

F2 · derivative.exercise_price: The number of Ordinary Shares subject to the Adjusted Option is equal to (i) the Ordinary Share Exchange Ratio multiplied by (ii) the total number of sharesof TCRR common stock subject to such TCRR Option. Each Adjusted Option was granted to the Reporting Person on the date set out in Column 3.

F9 · derivative.exercise_price: The exercise price was converted from GBP0.46, based on an exchange rate of $U.S. 1.2734 to GBP1.00. The actual exercise price will be the pounds sterling amount.

F10 · derivative.exercise_date: Currently exercisable as to 48,006 Ordinary Shares and will be exercisable as to the remainder in monthly installments of 3,430 Ordinary Shares on the first of each month from August 1, 2023 through January 1, 2025.

SEC source: 0001104659-23-078197 · tm2320409-9_4seq1.xml · derivative · entry 4

Allen Andrew R · CIK 0001374539 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 109,746

Underlying: Ordinary Shares · 109,746 shares

Expires 2030-12-09

F1 · derivative.exercise_price: Pursuant to the terms of the Agreement and Plan of Merger, dated as of March 5, 2023, as amended by Amendment No. 1 to Agreement and Plan of Merger, dated as of April 5, 2023 (the "Merger Agreement"), by and among the Issuer, CM Merger Sub, Inc. ("Merger Sub") and TCR2 Therapeutics, Inc. ("TCRR"), among other things, Merger Sub was merged with and into TCRR (the "Merger") with TCRR surviving the Merger as a wholly-owned subsidiary of the Issuer. Immediately prior to the effective time of the Merger, all outstanding and unexercised options to acquire shares of TCRR common stock (each, a "TCRR Option") were assumed by the Issuer and substituted for an option to purchase ordinary shares of the Issuer (each such share, an "Ordinary Share") (each such option, an "Adjusted Option"), with an exercise price equal to (A) the exercise price of such TCRR Option divided by (B) the product of 1.5117 multiplied by six (such product, the "Ordinary Share Exchange Ratio").

F2 · derivative.exercise_price: The number of Ordinary Shares subject to the Adjusted Option is equal to (i) the Ordinary Share Exchange Ratio multiplied by (ii) the total number of sharesof TCRR common stock subject to such TCRR Option. Each Adjusted Option was granted to the Reporting Person on the date set out in Column 3.

F7 · derivative.exercise_price: The exercise price was converted from GBP2.76, based on an exchange rate of $U.S. 1.2734 to GBP1.00. The actual exercise price will be the pounds sterling amount.

F8 · derivative.exercise_date: Currently exercisable as to 68,586 Ordinary Shares and will be exercisable as to the remainder in monthly installments of 2,286 Ordinary Shares on the first of each month from August 1, 2023 through December 1, 2024 and 2,298 Ordinary Shares on January 1, 2025.

SEC source: 0001104659-23-078197 · tm2320409-9_4seq1.xml · derivative · entry 3

Allen Andrew R · CIK 0001374539 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 45,348

Underlying: Ordinary Shares · 45,348 shares

Expires 2029-12-18

F1 · derivative.exercise_price: Pursuant to the terms of the Agreement and Plan of Merger, dated as of March 5, 2023, as amended by Amendment No. 1 to Agreement and Plan of Merger, dated as of April 5, 2023 (the "Merger Agreement"), by and among the Issuer, CM Merger Sub, Inc. ("Merger Sub") and TCR2 Therapeutics, Inc. ("TCRR"), among other things, Merger Sub was merged with and into TCRR (the "Merger") with TCRR surviving the Merger as a wholly-owned subsidiary of the Issuer. Immediately prior to the effective time of the Merger, all outstanding and unexercised options to acquire shares of TCRR common stock (each, a "TCRR Option") were assumed by the Issuer and substituted for an option to purchase ordinary shares of the Issuer (each such share, an "Ordinary Share") (each such option, an "Adjusted Option"), with an exercise price equal to (A) the exercise price of such TCRR Option divided by (B) the product of 1.5117 multiplied by six (such product, the "Ordinary Share Exchange Ratio").

F2 · derivative.exercise_price: The number of Ordinary Shares subject to the Adjusted Option is equal to (i) the Ordinary Share Exchange Ratio multiplied by (ii) the total number of sharesof TCRR common stock subject to such TCRR Option. Each Adjusted Option was granted to the Reporting Person on the date set out in Column 3.

F5 · derivative.exercise_price: The exercise price was converted from GBP1.40, based on an exchange rate of $U.S. 1.2734 to GBP1.00. The actual exercise price will be the pounds sterling amount.

F6 · derivative.exercise_date: Currently exercisable as to 39,684 Ordinary Shares and will be exercisable as to the remainder in monthly installments of 944 Ordinary Shares on the first of each month from August 1, 2023 through January 1, 2024.

SEC source: 0001104659-23-078197 · tm2320409-9_4seq1.xml · derivative · entry 2

Allen Andrew R · CIK 0001374539 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 56,868

Underlying: Ordinary Shares · 56,868 shares

Expires 2029-04-10

F1 · derivative.exercise_price: Pursuant to the terms of the Agreement and Plan of Merger, dated as of March 5, 2023, as amended by Amendment No. 1 to Agreement and Plan of Merger, dated as of April 5, 2023 (the "Merger Agreement"), by and among the Issuer, CM Merger Sub, Inc. ("Merger Sub") and TCR2 Therapeutics, Inc. ("TCRR"), among other things, Merger Sub was merged with and into TCRR (the "Merger") with TCRR surviving the Merger as a wholly-owned subsidiary of the Issuer. Immediately prior to the effective time of the Merger, all outstanding and unexercised options to acquire shares of TCRR common stock (each, a "TCRR Option") were assumed by the Issuer and substituted for an option to purchase ordinary shares of the Issuer (each such share, an "Ordinary Share") (each such option, an "Adjusted Option"), with an exercise price equal to (A) the exercise price of such TCRR Option divided by (B) the product of 1.5117 multiplied by six (such product, the "Ordinary Share Exchange Ratio").

F2 · derivative.exercise_price: The number of Ordinary Shares subject to the Adjusted Option is equal to (i) the Ordinary Share Exchange Ratio multiplied by (ii) the total number of sharesof TCRR common stock subject to such TCRR Option. Each Adjusted Option was granted to the Reporting Person on the date set out in Column 3.

F5 · derivative.exercise_price: The exercise price was converted from GBP1.40, based on an exchange rate of $U.S. 1.2734 to GBP1.00. The actual exercise price will be the pounds sterling amount.

F4 · derivative.exercise_date: Currently exercisable.

SEC source: 0001104659-23-078197 · tm2320409-9_4seq1.xml · derivative · entry 1

Allen Andrew R · CIK 0001374539 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 73,212

Underlying: Ordinary Shares · 73,212 shares

Expires 2028-12-12

F1 · derivative.exercise_price: Pursuant to the terms of the Agreement and Plan of Merger, dated as of March 5, 2023, as amended by Amendment No. 1 to Agreement and Plan of Merger, dated as of April 5, 2023 (the "Merger Agreement"), by and among the Issuer, CM Merger Sub, Inc. ("Merger Sub") and TCR2 Therapeutics, Inc. ("TCRR"), among other things, Merger Sub was merged with and into TCRR (the "Merger") with TCRR surviving the Merger as a wholly-owned subsidiary of the Issuer. Immediately prior to the effective time of the Merger, all outstanding and unexercised options to acquire shares of TCRR common stock (each, a "TCRR Option") were assumed by the Issuer and substituted for an option to purchase ordinary shares of the Issuer (each such share, an "Ordinary Share") (each such option, an "Adjusted Option"), with an exercise price equal to (A) the exercise price of such TCRR Option divided by (B) the product of 1.5117 multiplied by six (such product, the "Ordinary Share Exchange Ratio").

F2 · derivative.exercise_price: The number of Ordinary Shares subject to the Adjusted Option is equal to (i) the Ordinary Share Exchange Ratio multiplied by (ii) the total number of sharesof TCRR common stock subject to such TCRR Option. Each Adjusted Option was granted to the Reporting Person on the date set out in Column 3.

F3 · derivative.exercise_price: The exercise price was converted from GBP0.70, based on an exchange rate of $U.S. 1.2734 to GBP1.00. The actual exercise price will be the pounds sterling amount.

F4 · derivative.exercise_date: Currently exercisable.

SEC source: 0001104659-23-077662 · tm2320409-1_4seq1.xml · derivative · entry 1

Allen Andrew R · CIK 0001374539 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 500,000

Underlying: Ordinary Shares · 500,000 shares

Expires 2033-07-03

F1 · derivative.exercise_price: The exercise price was converted from GBP0.12 based on an exchange rate of $U.S. 1.270841 to GBP1.00. The actual exercise price will be the pounds sterling amount.

SEC source: 0001104659-23-067082 · tm2317472-12_4seq1.xml · derivative · entry 6

Allen Andrew R · CIK 0001374539 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 8,072 shares

Expires not disclosed

F1 · kind: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger, dated as of March 5, 2023, by and among TCR2 Therapeutics Inc. (the "Company"), Adaptimmune Therapeutics plc ("Parent") and CM Merger Sub, Inc., an indirect wholly-owned subsidiary of Parent ("Merger Sub"), as amended by that certain Amendment No. 1 to the Agreement and Plan of Merger, dated April 5, 2023, by and among the Company, Parent and Merger Sub (the "Merger Agreement"), pursuant to which Merger Sub merged with and into the Company (the "Merger") with the Company surviving the Merger as an indirect wholly-owned subsidiary of Parent effective as of June 1, 2023 (the "Effective Time").

F2 · kind: At the Effective Time, each issued and outstanding share of common stock of the Company (each, a "Share") (excluding any Shares held in treasury of the Company or owned, directly or indirectly, by Parent or Merger Sub immediately prior to the Effective Time) was cancelled and converted into the right to receive 1.5117 (the "Exchange Ratio") American Depositary Shares of Parent ("Parent ADS") representing six ordinary shares of Parent ("Parent Ordinary Shares"). Immediately prior to the Effective Time, each option to acquire Shares (each, a "Company Option") that was outstanding and unexercised, whether or not vested, was assumed and substituted for an option to purchase a number of Parent Ordinary Shares or Parent ADSs equal to the product of (i) the total number of Shares subject to such Company Option immediately prior to the Effective Time multiplied by (ii) six times the Exchange Ratio, in the case of Parent Ordinary Shares, or the Exchange Ratio in the case of Parent ADSs.

F2 · derivative.exercise_date: At the Effective Time, each issued and outstanding share of common stock of the Company (each, a "Share") (excluding any Shares held in treasury of the Company or owned, directly or indirectly, by Parent or Merger Sub immediately prior to the Effective Time) was cancelled and converted into the right to receive 1.5117 (the "Exchange Ratio") American Depositary Shares of Parent ("Parent ADS") representing six ordinary shares of Parent ("Parent Ordinary Shares"). Immediately prior to the Effective Time, each option to acquire Shares (each, a "Company Option") that was outstanding and unexercised, whether or not vested, was assumed and substituted for an option to purchase a number of Parent Ordinary Shares or Parent ADSs equal to the product of (i) the total number of Shares subject to such Company Option immediately prior to the Effective Time multiplied by (ii) six times the Exchange Ratio, in the case of Parent Ordinary Shares, or the Exchange Ratio in the case of Parent ADSs.

F2 · derivative.expiration_date: At the Effective Time, each issued and outstanding share of common stock of the Company (each, a "Share") (excluding any Shares held in treasury of the Company or owned, directly or indirectly, by Parent or Merger Sub immediately prior to the Effective Time) was cancelled and converted into the right to receive 1.5117 (the "Exchange Ratio") American Depositary Shares of Parent ("Parent ADS") representing six ordinary shares of Parent ("Parent Ordinary Shares"). Immediately prior to the Effective Time, each option to acquire Shares (each, a "Company Option") that was outstanding and unexercised, whether or not vested, was assumed and substituted for an option to purchase a number of Parent Ordinary Shares or Parent ADSs equal to the product of (i) the total number of Shares subject to such Company Option immediately prior to the Effective Time multiplied by (ii) six times the Exchange Ratio, in the case of Parent Ordinary Shares, or the Exchange Ratio in the case of Parent ADSs.

SEC source: 0001104659-23-067082 · tm2317472-12_4seq1.xml · derivative · entry 5

Allen Andrew R · CIK 0001374539 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 6,270 shares

Expires not disclosed

F1 · kind: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger, dated as of March 5, 2023, by and among TCR2 Therapeutics Inc. (the "Company"), Adaptimmune Therapeutics plc ("Parent") and CM Merger Sub, Inc., an indirect wholly-owned subsidiary of Parent ("Merger Sub"), as amended by that certain Amendment No. 1 to the Agreement and Plan of Merger, dated April 5, 2023, by and among the Company, Parent and Merger Sub (the "Merger Agreement"), pursuant to which Merger Sub merged with and into the Company (the "Merger") with the Company surviving the Merger as an indirect wholly-owned subsidiary of Parent effective as of June 1, 2023 (the "Effective Time").

F2 · kind: At the Effective Time, each issued and outstanding share of common stock of the Company (each, a "Share") (excluding any Shares held in treasury of the Company or owned, directly or indirectly, by Parent or Merger Sub immediately prior to the Effective Time) was cancelled and converted into the right to receive 1.5117 (the "Exchange Ratio") American Depositary Shares of Parent ("Parent ADS") representing six ordinary shares of Parent ("Parent Ordinary Shares"). Immediately prior to the Effective Time, each option to acquire Shares (each, a "Company Option") that was outstanding and unexercised, whether or not vested, was assumed and substituted for an option to purchase a number of Parent Ordinary Shares or Parent ADSs equal to the product of (i) the total number of Shares subject to such Company Option immediately prior to the Effective Time multiplied by (ii) six times the Exchange Ratio, in the case of Parent Ordinary Shares, or the Exchange Ratio in the case of Parent ADSs.

F2 · derivative.exercise_date: At the Effective Time, each issued and outstanding share of common stock of the Company (each, a "Share") (excluding any Shares held in treasury of the Company or owned, directly or indirectly, by Parent or Merger Sub immediately prior to the Effective Time) was cancelled and converted into the right to receive 1.5117 (the "Exchange Ratio") American Depositary Shares of Parent ("Parent ADS") representing six ordinary shares of Parent ("Parent Ordinary Shares"). Immediately prior to the Effective Time, each option to acquire Shares (each, a "Company Option") that was outstanding and unexercised, whether or not vested, was assumed and substituted for an option to purchase a number of Parent Ordinary Shares or Parent ADSs equal to the product of (i) the total number of Shares subject to such Company Option immediately prior to the Effective Time multiplied by (ii) six times the Exchange Ratio, in the case of Parent Ordinary Shares, or the Exchange Ratio in the case of Parent ADSs.

F2 · derivative.expiration_date: At the Effective Time, each issued and outstanding share of common stock of the Company (each, a "Share") (excluding any Shares held in treasury of the Company or owned, directly or indirectly, by Parent or Merger Sub immediately prior to the Effective Time) was cancelled and converted into the right to receive 1.5117 (the "Exchange Ratio") American Depositary Shares of Parent ("Parent ADS") representing six ordinary shares of Parent ("Parent Ordinary Shares"). Immediately prior to the Effective Time, each option to acquire Shares (each, a "Company Option") that was outstanding and unexercised, whether or not vested, was assumed and substituted for an option to purchase a number of Parent Ordinary Shares or Parent ADSs equal to the product of (i) the total number of Shares subject to such Company Option immediately prior to the Effective Time multiplied by (ii) six times the Exchange Ratio, in the case of Parent Ordinary Shares, or the Exchange Ratio in the case of Parent ADSs.

SEC source: 0001104659-23-067082 · tm2317472-12_4seq1.xml · derivative · entry 4

Allen Andrew R · CIK 0001374539 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,000 shares

Expires not disclosed

F1 · kind: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger, dated as of March 5, 2023, by and among TCR2 Therapeutics Inc. (the "Company"), Adaptimmune Therapeutics plc ("Parent") and CM Merger Sub, Inc., an indirect wholly-owned subsidiary of Parent ("Merger Sub"), as amended by that certain Amendment No. 1 to the Agreement and Plan of Merger, dated April 5, 2023, by and among the Company, Parent and Merger Sub (the "Merger Agreement"), pursuant to which Merger Sub merged with and into the Company (the "Merger") with the Company surviving the Merger as an indirect wholly-owned subsidiary of Parent effective as of June 1, 2023 (the "Effective Time").

F2 · kind: At the Effective Time, each issued and outstanding share of common stock of the Company (each, a "Share") (excluding any Shares held in treasury of the Company or owned, directly or indirectly, by Parent or Merger Sub immediately prior to the Effective Time) was cancelled and converted into the right to receive 1.5117 (the "Exchange Ratio") American Depositary Shares of Parent ("Parent ADS") representing six ordinary shares of Parent ("Parent Ordinary Shares"). Immediately prior to the Effective Time, each option to acquire Shares (each, a "Company Option") that was outstanding and unexercised, whether or not vested, was assumed and substituted for an option to purchase a number of Parent Ordinary Shares or Parent ADSs equal to the product of (i) the total number of Shares subject to such Company Option immediately prior to the Effective Time multiplied by (ii) six times the Exchange Ratio, in the case of Parent Ordinary Shares, or the Exchange Ratio in the case of Parent ADSs.

F2 · derivative.exercise_date: At the Effective Time, each issued and outstanding share of common stock of the Company (each, a "Share") (excluding any Shares held in treasury of the Company or owned, directly or indirectly, by Parent or Merger Sub immediately prior to the Effective Time) was cancelled and converted into the right to receive 1.5117 (the "Exchange Ratio") American Depositary Shares of Parent ("Parent ADS") representing six ordinary shares of Parent ("Parent Ordinary Shares"). Immediately prior to the Effective Time, each option to acquire Shares (each, a "Company Option") that was outstanding and unexercised, whether or not vested, was assumed and substituted for an option to purchase a number of Parent Ordinary Shares or Parent ADSs equal to the product of (i) the total number of Shares subject to such Company Option immediately prior to the Effective Time multiplied by (ii) six times the Exchange Ratio, in the case of Parent Ordinary Shares, or the Exchange Ratio in the case of Parent ADSs.

F2 · derivative.expiration_date: At the Effective Time, each issued and outstanding share of common stock of the Company (each, a "Share") (excluding any Shares held in treasury of the Company or owned, directly or indirectly, by Parent or Merger Sub immediately prior to the Effective Time) was cancelled and converted into the right to receive 1.5117 (the "Exchange Ratio") American Depositary Shares of Parent ("Parent ADS") representing six ordinary shares of Parent ("Parent Ordinary Shares"). Immediately prior to the Effective Time, each option to acquire Shares (each, a "Company Option") that was outstanding and unexercised, whether or not vested, was assumed and substituted for an option to purchase a number of Parent Ordinary Shares or Parent ADSs equal to the product of (i) the total number of Shares subject to such Company Option immediately prior to the Effective Time multiplied by (ii) six times the Exchange Ratio, in the case of Parent Ordinary Shares, or the Exchange Ratio in the case of Parent ADSs.

SEC source: 0001104659-23-067082 · tm2317472-12_4seq1.xml · derivative · entry 3

Allen Andrew R · CIK 0001374539 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 12,100 shares

Expires not disclosed

F1 · kind: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger, dated as of March 5, 2023, by and among TCR2 Therapeutics Inc. (the "Company"), Adaptimmune Therapeutics plc ("Parent") and CM Merger Sub, Inc., an indirect wholly-owned subsidiary of Parent ("Merger Sub"), as amended by that certain Amendment No. 1 to the Agreement and Plan of Merger, dated April 5, 2023, by and among the Company, Parent and Merger Sub (the "Merger Agreement"), pursuant to which Merger Sub merged with and into the Company (the "Merger") with the Company surviving the Merger as an indirect wholly-owned subsidiary of Parent effective as of June 1, 2023 (the "Effective Time").

F2 · kind: At the Effective Time, each issued and outstanding share of common stock of the Company (each, a "Share") (excluding any Shares held in treasury of the Company or owned, directly or indirectly, by Parent or Merger Sub immediately prior to the Effective Time) was cancelled and converted into the right to receive 1.5117 (the "Exchange Ratio") American Depositary Shares of Parent ("Parent ADS") representing six ordinary shares of Parent ("Parent Ordinary Shares"). Immediately prior to the Effective Time, each option to acquire Shares (each, a "Company Option") that was outstanding and unexercised, whether or not vested, was assumed and substituted for an option to purchase a number of Parent Ordinary Shares or Parent ADSs equal to the product of (i) the total number of Shares subject to such Company Option immediately prior to the Effective Time multiplied by (ii) six times the Exchange Ratio, in the case of Parent Ordinary Shares, or the Exchange Ratio in the case of Parent ADSs.

F2 · derivative.exercise_date: At the Effective Time, each issued and outstanding share of common stock of the Company (each, a "Share") (excluding any Shares held in treasury of the Company or owned, directly or indirectly, by Parent or Merger Sub immediately prior to the Effective Time) was cancelled and converted into the right to receive 1.5117 (the "Exchange Ratio") American Depositary Shares of Parent ("Parent ADS") representing six ordinary shares of Parent ("Parent Ordinary Shares"). Immediately prior to the Effective Time, each option to acquire Shares (each, a "Company Option") that was outstanding and unexercised, whether or not vested, was assumed and substituted for an option to purchase a number of Parent Ordinary Shares or Parent ADSs equal to the product of (i) the total number of Shares subject to such Company Option immediately prior to the Effective Time multiplied by (ii) six times the Exchange Ratio, in the case of Parent Ordinary Shares, or the Exchange Ratio in the case of Parent ADSs.

F2 · derivative.expiration_date: At the Effective Time, each issued and outstanding share of common stock of the Company (each, a "Share") (excluding any Shares held in treasury of the Company or owned, directly or indirectly, by Parent or Merger Sub immediately prior to the Effective Time) was cancelled and converted into the right to receive 1.5117 (the "Exchange Ratio") American Depositary Shares of Parent ("Parent ADS") representing six ordinary shares of Parent ("Parent Ordinary Shares"). Immediately prior to the Effective Time, each option to acquire Shares (each, a "Company Option") that was outstanding and unexercised, whether or not vested, was assumed and substituted for an option to purchase a number of Parent Ordinary Shares or Parent ADSs equal to the product of (i) the total number of Shares subject to such Company Option immediately prior to the Effective Time multiplied by (ii) six times the Exchange Ratio, in the case of Parent Ordinary Shares, or the Exchange Ratio in the case of Parent ADSs.

SEC source: 0001104659-23-067082 · tm2317472-12_4seq1.xml · derivative · entry 2

Allen Andrew R · CIK 0001374539 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 12,100 shares

Expires not disclosed

F1 · kind: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger, dated as of March 5, 2023, by and among TCR2 Therapeutics Inc. (the "Company"), Adaptimmune Therapeutics plc ("Parent") and CM Merger Sub, Inc., an indirect wholly-owned subsidiary of Parent ("Merger Sub"), as amended by that certain Amendment No. 1 to the Agreement and Plan of Merger, dated April 5, 2023, by and among the Company, Parent and Merger Sub (the "Merger Agreement"), pursuant to which Merger Sub merged with and into the Company (the "Merger") with the Company surviving the Merger as an indirect wholly-owned subsidiary of Parent effective as of June 1, 2023 (the "Effective Time").

F2 · kind: At the Effective Time, each issued and outstanding share of common stock of the Company (each, a "Share") (excluding any Shares held in treasury of the Company or owned, directly or indirectly, by Parent or Merger Sub immediately prior to the Effective Time) was cancelled and converted into the right to receive 1.5117 (the "Exchange Ratio") American Depositary Shares of Parent ("Parent ADS") representing six ordinary shares of Parent ("Parent Ordinary Shares"). Immediately prior to the Effective Time, each option to acquire Shares (each, a "Company Option") that was outstanding and unexercised, whether or not vested, was assumed and substituted for an option to purchase a number of Parent Ordinary Shares or Parent ADSs equal to the product of (i) the total number of Shares subject to such Company Option immediately prior to the Effective Time multiplied by (ii) six times the Exchange Ratio, in the case of Parent Ordinary Shares, or the Exchange Ratio in the case of Parent ADSs.

F2 · derivative.exercise_date: At the Effective Time, each issued and outstanding share of common stock of the Company (each, a "Share") (excluding any Shares held in treasury of the Company or owned, directly or indirectly, by Parent or Merger Sub immediately prior to the Effective Time) was cancelled and converted into the right to receive 1.5117 (the "Exchange Ratio") American Depositary Shares of Parent ("Parent ADS") representing six ordinary shares of Parent ("Parent Ordinary Shares"). Immediately prior to the Effective Time, each option to acquire Shares (each, a "Company Option") that was outstanding and unexercised, whether or not vested, was assumed and substituted for an option to purchase a number of Parent Ordinary Shares or Parent ADSs equal to the product of (i) the total number of Shares subject to such Company Option immediately prior to the Effective Time multiplied by (ii) six times the Exchange Ratio, in the case of Parent Ordinary Shares, or the Exchange Ratio in the case of Parent ADSs.

F2 · derivative.expiration_date: At the Effective Time, each issued and outstanding share of common stock of the Company (each, a "Share") (excluding any Shares held in treasury of the Company or owned, directly or indirectly, by Parent or Merger Sub immediately prior to the Effective Time) was cancelled and converted into the right to receive 1.5117 (the "Exchange Ratio") American Depositary Shares of Parent ("Parent ADS") representing six ordinary shares of Parent ("Parent Ordinary Shares"). Immediately prior to the Effective Time, each option to acquire Shares (each, a "Company Option") that was outstanding and unexercised, whether or not vested, was assumed and substituted for an option to purchase a number of Parent Ordinary Shares or Parent ADSs equal to the product of (i) the total number of Shares subject to such Company Option immediately prior to the Effective Time multiplied by (ii) six times the Exchange Ratio, in the case of Parent Ordinary Shares, or the Exchange Ratio in the case of Parent ADSs.

SEC source: 0001104659-23-067082 · tm2317472-12_4seq1.xml · derivative · entry 1

Allen Andrew R · CIK 0001374539 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 16,800 shares

Expires not disclosed

F1 · kind: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger, dated as of March 5, 2023, by and among TCR2 Therapeutics Inc. (the "Company"), Adaptimmune Therapeutics plc ("Parent") and CM Merger Sub, Inc., an indirect wholly-owned subsidiary of Parent ("Merger Sub"), as amended by that certain Amendment No. 1 to the Agreement and Plan of Merger, dated April 5, 2023, by and among the Company, Parent and Merger Sub (the "Merger Agreement"), pursuant to which Merger Sub merged with and into the Company (the "Merger") with the Company surviving the Merger as an indirect wholly-owned subsidiary of Parent effective as of June 1, 2023 (the "Effective Time").

F2 · kind: At the Effective Time, each issued and outstanding share of common stock of the Company (each, a "Share") (excluding any Shares held in treasury of the Company or owned, directly or indirectly, by Parent or Merger Sub immediately prior to the Effective Time) was cancelled and converted into the right to receive 1.5117 (the "Exchange Ratio") American Depositary Shares of Parent ("Parent ADS") representing six ordinary shares of Parent ("Parent Ordinary Shares"). Immediately prior to the Effective Time, each option to acquire Shares (each, a "Company Option") that was outstanding and unexercised, whether or not vested, was assumed and substituted for an option to purchase a number of Parent Ordinary Shares or Parent ADSs equal to the product of (i) the total number of Shares subject to such Company Option immediately prior to the Effective Time multiplied by (ii) six times the Exchange Ratio, in the case of Parent Ordinary Shares, or the Exchange Ratio in the case of Parent ADSs.

F2 · derivative.exercise_date: At the Effective Time, each issued and outstanding share of common stock of the Company (each, a "Share") (excluding any Shares held in treasury of the Company or owned, directly or indirectly, by Parent or Merger Sub immediately prior to the Effective Time) was cancelled and converted into the right to receive 1.5117 (the "Exchange Ratio") American Depositary Shares of Parent ("Parent ADS") representing six ordinary shares of Parent ("Parent Ordinary Shares"). Immediately prior to the Effective Time, each option to acquire Shares (each, a "Company Option") that was outstanding and unexercised, whether or not vested, was assumed and substituted for an option to purchase a number of Parent Ordinary Shares or Parent ADSs equal to the product of (i) the total number of Shares subject to such Company Option immediately prior to the Effective Time multiplied by (ii) six times the Exchange Ratio, in the case of Parent Ordinary Shares, or the Exchange Ratio in the case of Parent ADSs.

F2 · derivative.expiration_date: At the Effective Time, each issued and outstanding share of common stock of the Company (each, a "Share") (excluding any Shares held in treasury of the Company or owned, directly or indirectly, by Parent or Merger Sub immediately prior to the Effective Time) was cancelled and converted into the right to receive 1.5117 (the "Exchange Ratio") American Depositary Shares of Parent ("Parent ADS") representing six ordinary shares of Parent ("Parent Ordinary Shares"). Immediately prior to the Effective Time, each option to acquire Shares (each, a "Company Option") that was outstanding and unexercised, whether or not vested, was assumed and substituted for an option to purchase a number of Parent Ordinary Shares or Parent ADSs equal to the product of (i) the total number of Shares subject to such Company Option immediately prior to the Effective Time multiplied by (ii) six times the Exchange Ratio, in the case of Parent Ordinary Shares, or the Exchange Ratio in the case of Parent ADSs.

SEC source: 0001567619-23-001941 · doc1.xml · nonDerivative · entry 1

Allen Andrew R · CIK 0001374539 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 856,750

F1 · shares: Represents Restricted Stock Units ("RSUs") 499,241 of which vest semi-annually over four years and 239,309 of which vest annually over two years from February 1, 2023, in each case, subject to the Reporting Person's continuous service to the Issuer on each such date. Each RSU represents a contingent right to receive one share of common stock of the Issuer.

F2 · balance_after: Includes 738,550 RSUs which are subject to vesting.

SEC source: 0000899243-22-039024 · doc4.xml · derivative · entry 1

Allen Andrew R · CIK 0001374539 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,800

Underlying: Common Stock · 16,800 shares

Expires 2032-12-14

F1 · derivative.exercise_date: 25% of this option shall vest and become exercisable on January 1, 2024, with the remainder vesting in twenty-four (24) equal monthly installments thereafter.

SEC source: 0001209191-22-040258 · doc4.xml · derivative · entry 6

Allen Andrew R · CIK 0001374539 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 6,000 shares

Expires 2031-06-08

F2 · price: Pursuant to the terms of the merger agreement between issuer, GlaxoSmithKline plc ("GSK") and a subsidiary of GSK and a subsidiary of GSK, this option was cancelled on the effective date of the merger in exchange for a cash payment equal to, on a per share basis, the offer price of $55.00 less the exercise price.

F7 · derivative.exercise_date: The option fully vested on June 8, 2022.

SEC source: 0001209191-22-040258 · doc4.xml · derivative · entry 5

Allen Andrew R · CIK 0001374539 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 12,030 shares

Expires 2030-06-09

F2 · price: Pursuant to the terms of the merger agreement between issuer, GlaxoSmithKline plc ("GSK") and a subsidiary of GSK and a subsidiary of GSK, this option was cancelled on the effective date of the merger in exchange for a cash payment equal to, on a per share basis, the offer price of $55.00 less the exercise price.

F6 · derivative.exercise_date: The option fully vested on June 9, 2021.

SEC source: 0001209191-22-040258 · doc4.xml · derivative · entry 4

Allen Andrew R · CIK 0001374539 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 625 shares

Expires 2028-06-12

F4 · price: Pursuant to the terms of the merger agreement between issuer, GSK and a subsidiary of GSK, this option was cancelled on the effective date of the merger.

F5 · derivative.exercise_date: The option fully vested on June 12, 2019.

SEC source: 0001209191-22-040258 · doc4.xml · derivative · entry 3

Allen Andrew R · CIK 0001374539 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,250 shares

Expires 2027-11-10

F4 · price: Pursuant to the terms of the merger agreement between issuer, GSK and a subsidiary of GSK, this option was cancelled on the effective date of the merger.

F3 · derivative.exercise_date: The option fully vested on November 10, 2018.

SEC source: 0001209191-22-040258 · doc4.xml · derivative · entry 2

Allen Andrew R · CIK 0001374539 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 750 shares

Expires 2029-06-11

F2 · price: Pursuant to the terms of the merger agreement between issuer, GlaxoSmithKline plc ("GSK") and a subsidiary of GSK and a subsidiary of GSK, this option was cancelled on the effective date of the merger in exchange for a cash payment equal to, on a per share basis, the offer price of $55.00 less the exercise price.

F1 · derivative.exercise_date: The option fully vested on July 11, 2020.

SEC source: 0001209191-22-040258 · doc4.xml · nonDerivative · entry 1

Allen Andrew R · CIK 0001374539 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

SEC source: 0001567619-22-008708 · doc1.xml · derivative · entry 3

Allen Andrew R · CIK 0001374539 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 410,000

Underlying: Common Stock · 410,000 shares

Expires 2032-01-30

F4 · derivative.exercise_date: One forty-eighth (1/48th) of the shares initially subject to the option will vest on each monthly anniversary measured from January 31, 2022 (the "Vesting Commencement Date"), so that 100% of the shares subject to the option will be fully vested and exercisable as of the fourth anniversary of the Vesting Commencement Date, subject to the Reporting Person's continued service through each vesting date.

SEC source: 0001567619-22-008708 · doc1.xml · nonDerivative · entry 1

Allen Andrew R · CIK 0001374539 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 118,200

F1 · shares: Represents Restricted Stock Units ("RSUs") which vest on the first anniversary of the grant date. Each RSU represents a contingent right to receive one share of common stock of the Issuer.

F2 · balance_after: Includes 94,100 Restricted Stock Units which are subject to vesting.

SEC source: 0001209191-21-069022 · doc4.xml · derivative · entry 1

Allen Andrew R · CIK 0001374539 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,100

Underlying: Common Stock · 12,100 shares

Expires 2031-12-08

F1 · derivative.exercise_date: 25% of this option shall vest and become exercisable on January 1, 2023, with the remainder vesting in twenty-four (24) equal monthly installments thereafter.

SEC source: 0000899243-21-023872 · doc4.xml · derivative · entry 2

Allen Andrew R · CIK 0001374539 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,559

Underlying: Common Stock · 40,559 shares

Expires 2031-06-10

F2 · derivative.exercise_date: This option was granted on June 11, 2021 and is scheduled to vest with respect to all shares on the first anniversary of the grant date or, if earlier, immediately prior to the first annual meeting of stockholders occurring after the grant date, subject to continued service as a director. In the event of a change in control of the Issuer, the option will become exercisable in full.

SEC source: 0000899243-21-023872 · doc4.xml · nonDerivative · entry 1

Allen Andrew R · CIK 0001374539 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,560

F1 · shares: Consists of shares of Common Stock issuable under 8,060 restricted stock units ("RSUs") granted on June 11, 2021, which RSUs are scheduled to vest with respect to all shares on the first anniversary of the grant date or, if earlier, immediately prior to the first annual meeting of stockholders occurring after the grant date, subject to continued service as a director. Each RSU represents the right to receive one share of Common Stock upon vesting. In the event of a change in control of the Issuer, the RSUs will vest in full.

SEC source: 0001209191-21-039090 · doc4.xml · derivative · entry 1

Allen Andrew R · CIK 0001374539 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,000

Underlying: Common Stock · 6,000 shares

Expires 2031-06-08

F1 · derivative.exercise_date: The Option fully vests and becomes exercisable on June 8, 2022, subject to the Reporting Person's provision of service to the Issuer as of the vesting date.

SEC source: 0001567619-21-005987 · doc1.xml · derivative · entry 1

Allen Andrew R · CIK 0001374539 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 290,000

Underlying: Common Stock · 290,000 shares

Expires 2031-03-07

F1 · derivative.exercise_date: One forty-eighth (1/48th) of the shares initially subject to the option will vest on each monthly anniversary measured from March 8, 2021 (the "Vesting Commencement Date"), so that 100% of the shares subject to the option will be fully vested and exercisable as of the fourth anniversary of the Vesting Commencement Date, subject to the Reporting Person's continued service through each vesting date.

SEC source: 0001567619-21-020853 · doc1.xml · nonDerivative · entry 1

Allen Andrew R · CIK 0001374539 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,200

F1 · shares: Represents Restricted Stock Units ("RSUs") which vest in two equal annual installments over a two year period measured from the grant date. Each RSU represents a contingent right to receive one share of Common Stock of the Issuer.

F1 · balance_after: Represents Restricted Stock Units ("RSUs") which vest in two equal annual installments over a two year period measured from the grant date. Each RSU represents a contingent right to receive one share of Common Stock of the Issuer.

SEC source: 0000899243-20-033467 · doc4.xml · derivative · entry 1

Allen Andrew R · CIK 0001374539 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,100

Underlying: Common Stock · 12,100 shares

Expires 2030-12-09

F1 · derivative.exercise_date: 25% of this option shall vest and become exercisable on January 1, 2022, with the remainder vesting in twenty-four (24) equal monthly installments thereafter.

SEC source: 0001209191-20-035687 · doc4.xml · derivative · entry 1

Allen Andrew R · CIK 0001374539 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,030

Underlying: Common Stock · 12,030 shares

Expires 2030-06-09

F1 · derivative.exercise_date: The option vests as to 8.333% of the total shares monthly, beginning on July 9, 2020, with 100% of the total shares vested and exercisable on June 9, 2021, subject to the reporting person's provision of service to the issuer on each vesting date.

SEC source: 0000899243-20-014902 · doc4.xml · derivative · entry 1

Allen Andrew R · CIK 0001374539 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,013

Underlying: Common Stock · 14,013 shares

Expires 2030-05-28

F1 · derivative.exercise_date: This option will vest in full on May 29, 2021, subject to Reporting Person's continued service as a director. In the event of a change in control of the Issuer, the option will become exercisable in full.

SEC source: 0000899243-20-008847 · doc4.xml · derivative · entry 2

Allen Andrew R · CIK 0001374539 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 12,500 shares

Expires 2026-05-18

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0000899243-20-008847 · doc4.xml · nonDerivative · entry 1

Allen Andrew R · CIK 0001374539 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,500

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001567619-20-005025 · doc1.xml · derivative · entry 1

Allen Andrew R · CIK 0001374539 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 275,000

Underlying: Common Stock · 275,000 shares

Expires 2030-02-24

F1 · derivative.exercise_date: The stock option vests and becomes exercisable in equal monthly installments over 48 months commencing on March 1, 2020.

SEC source: 0000899243-19-029858 · doc4.xml · derivative · entry 1

Allen Andrew R · CIK 0001374539 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

Underlying: Common Stock · 5,000 shares

Expires 2029-12-18

F1 · derivative.exercise_date: 25% of this option shall vest and become exercisable on January 1, 2021, with the remainder vesting in thirty-six (36) equal monthly installments thereafter.

SEC source: 0001209191-19-036483 · doc4.xml · derivative · entry 1

Allen Andrew R · CIK 0001374539 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2029-06-11

F1 · derivative.exercise_date: The option vests as to 8.333% of the total shares monthly, beginning on July 11, 2019, with 100% of the total shares vested and exercisable on June 11, 2020, subject to the reporting person's provision of service to the issuer on each vesting date.

SEC source: 0000899243-19-016013 · doc4.xml · derivative · entry 1

Allen Andrew R · CIK 0001374539 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,633

Underlying: Common Stock · 17,633 shares

Expires 2029-05-30

F1 · derivative.exercise_date: This option will vest in full on May 31, 2020, subject to Reporting Person's continued service as a director. In the event of a change in control of the Issuer, the option will become exercisable in full.

SEC source: 0001750019-19-000024 · wf-form4_155509968355098.xml · derivative · entry 1

Allen Andrew R · CIK 0001374539 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,270

Underlying: Common Stock · 6,270 shares

Expires 2029-04-10

F1 · derivative.exercise_date: 25% of this option shall vest and become exercisable on January 1, 2020, with the remainder vesting in thirty-six (36) equal monthly installments thereafter.

SEC source: 0001567619-19-006917 · doc1.xml · derivative · entry 1

Allen Andrew R · CIK 0001374539 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 180,000

Underlying: Common Stock · 180,000 shares

Expires 2029-02-12

F1 · derivative.exercise_date: The stock option vests and becomes exercisable in equal monthly installments over 48 months commencing on March 1, 2019.