Adaptive Biotech officer plans $3.8M stock sale

Adaptive Biotechnologies Corp (ADPT) officer Francis Lo has filed a notice to sell 142,198 shares of common stock under Rule 144 through Morgan Stanley Smith Barney LLC, with an indicated aggregate market value of $3,793,842.64 as of September 16, 2026.

Rhea-AI Filing Summary

Adaptive Biotechnologies Corp (ADPT) officer Francis Lo has filed a notice to sell 142,198 shares of common stock under Rule 144 through Morgan Stanley Smith Barney LLC, with an indicated aggregate market value of $3,793,842.64 as of September 16, 2026.

The planned sales include 132,352 shares to be received from the exercise of stock options on September 16, 2026 and 9,846 shares from restricted stock units vesting on March 4, 2026. The notice states that the securities to be sold were and will be received upon option exercises, with acquisition and payment dates matching the respective exercise or sale dates.

Key Figures

Shares to be sold under Rule 144: 142,198 shares Aggregate market value of planned sale: $3,793,842.64 Shares from stock option exercises: 132,352 shares +4 more

7 metrics

Shares to be sold under Rule 144 142,198 shares Common stock covered by the notice through Morgan Stanley Smith Barney LLC

Aggregate market value of planned sale $3,793,842.64 Value associated with 142,198 shares as of September 16, 2026

Shares from stock option exercises 132,352 shares Common stock to be sold from the exercise of stock options dated September 16, 2026

Shares from restricted stock units 9,846 shares Common stock to be sold from restricted stock units dated March 4, 2026

10b5-1 sale on July 15, 2026 105,762 shares; $2,389,214.58 Common stock sold under a 10b5-1 plan in the past three months

10b5-1 sale on July 2, 2026 44,838 shares; $1,012,995.41 Common stock sold under a 10b5-1 plan in the past three months

10b5-1 sale on July 1, 2026 51,004 shares; $1,144,662.61 Common stock sold under a 10b5-1 plan in the past three months

Key Terms

Rule 144, 10b5-1, Restricted Stock Units, Exercise of Stock Options

4 terms

Rule 144 regulatory

"See the definition of "person" in paragraph (a) of Rule 144."

Rule 144 is a U.S. securities regulation that sets conditions under which restricted or insider-held shares can be legally resold to the public, such as required holding periods, availability of public information, limits on how much can be sold at once, and certain filing requirements. For investors it matters because it determines when previously locked-up shares can enter the market — like a release valve that can increase supply, affect share price, and signal insider intent.

10b5-1 regulatory

"10b5-1 Sales for FRANCIS LO 1165 Eastlake Avenue East Seattle WA 98109"

A 10b5-1 plan is a pre-set schedule that lets company insiders buy or sell shares according to written instructions made when they do not possess material, nonpublic information. Think of it as a timed automatic payment for stock trades: it helps insiders avoid accusations of trading on secret information and gives outside investors a clearer signal about whether sales are routine or potentially informative about the company’s prospects.

Restricted Stock Units financial

"Common | 03/04/2026 | Restricted Stock Units | Issuer"

Restricted stock units are a type of company reward where employees are promised shares of stock, but they only fully own these shares after meeting certain conditions, like staying with the company for a set time. They matter because they can become valuable assets and are often used to motivate employees to help the company succeed.

Exercise of Stock Options financial

"Common | 09/16/2026 | Exercise of Stock Options | Issuer"

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What does Adaptive Biotechnologies (ADPT) disclose in this Form 144 filing?

The filing states that officer Francis Lo intends to sell 142,198 shares of Adaptive Biotechnologies common stock under Rule 144, primarily from the exercise of stock options and restricted stock units, through Morgan Stanley Smith Barney LLC.

How many Adaptive Biotechnologies (ADPT) shares are planned to be sold from stock options and RSUs?

The notice identifies 132,352 shares to be sold from the exercise of stock options dated September 16, 2026 and 9,846 shares to be sold from restricted stock units dated March 4, 2026.

What is the aggregate market value of the ADPT shares covered by this Form 144?

The Form 144 lists an aggregate market value of $3,793,842.64 for the 142,198 shares of Adaptive Biotechnologies common stock covered by the planned Rule 144 sale as of September 16, 2026.

Which broker is handling the planned Rule 144 sale for Adaptive Biotechnologies (ADPT) shares?

The planned sale of 142,198 shares of Adaptive Biotechnologies common stock will be handled through Morgan Stanley Smith Barney LLC Executive Financial Services at 1 New York Plaza, New York, New York.

What previous 10b5-1 sales of ADPT shares by Francis Lo are reported in the past three months?

The filing lists 10b5-1 sales of Adaptive Biotechnologies common stock by Francis Lo of 105,762 shares on July 15, 2026, 44,838 shares on July 2, 2026 and 51,004 shares on July 1, 2026, with corresponding dollar amounts for each sale.

What does the Form 144 say about how Francis Lo will acquire the ADPT shares being sold?

The remarks state that the securities to be sold were and will be received upon the exercise of stock options over the next three months, and that the dates of acquisition and payment were and will be the dates of exercise or sale.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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Available on EDGAR 09/16/2026 - 04:40 PM Accepted by SEC EDGAR 09/16/2026 - 04:40 PM Learn about SEC filing dates

Form 144 Filer Information	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 144 NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933
FORM 144

144: Filer Information

Filer CIK	0001780660
Filer CCC	XXXXXXXX
Is this a LIVE or TEST Filing?	LIVE TEST
Submission Contact Information
Name
Phone
E-Mail Address

144: Issuer Information

Name of Issuer	Adaptive Biotechnologies Corp
SEC File Number	001-38957
Address of Issuer	1165 Eastlake Avenue East Seattle WASHINGTON 98109
Phone	2066590067
Name of Person for Whose Account the Securities are To Be Sold	FRANCIS LO
See the definition of "person" in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice.
Relationship to Issuer	Officer

144: Securities Information

Title of the Class of Securities To Be Sold	Name and Address of the Broker	Number of Shares or Other Units To Be Sold	Aggregate Market Value	Number of Shares or Other Units Outstanding	Approximate Date of Sale	Name the Securities Exchange
Common	Morgan Stanley Smith Barney LLC Executive Financial Services 1 New York Plaza 8th Floor New York NY 10004	142198	3793842.64	159595842	09/16/2026	NASDAQ

Furnish the following information with respect to the acquisition of the securities to be sold and with respect to the payment of all or any part of the purchase price or other consideration therefor:

144: Securities To Be Sold

Title of the Class	Date you Acquired	Nature of Acquisition Transaction	Name of Person from Whom Acquired	Is this a Gift?	Date Donor Acquired	Amount of Securities Acquired	Date of Payment	Nature of Payment *
Common	09/16/2026	Exercise of Stock Options	Issuer			132352	09/16/2026	Cash
Common	03/04/2026	Restricted Stock Units	Issuer			9846	03/04/2026	N/A

* If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid.

Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.

144: Securities Sold During The Past 3 Months

Name and Address of Seller	Title of Securities Sold	Date of Sale	Amount of Securities Sold	Gross Proceeds
10b5-1 Sales for FRANCIS LO 1165 Eastlake Avenue East Seattle WA 98109	Common	07/15/2026	105762	2389214.58
10b5-1 Sales for FRANCIS LO 1165 Eastlake Avenue East Seattle WA 98109	Common	07/02/2026	44838	1012995.41
10b5-1 Sales for FRANCIS LO 1165 Eastlake Avenue East Seattle WA 98109	Common	07/01/2026	51004	1144662.61

144: Remarks and Signature

Remarks	The securities to be sold were and will be received upon the exercise of stock options over the next three months. The dates of acquisition and payment were and will be the dates of exercise/sale.
Date of Notice	09/16/2026
Date of Plan Adoption or Giving of Instruction, If Relying on Rule 10b5-1	09/15/2025
ATTENTION:
The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed. If such person has adopted a written trading plan or given trading instructions to satisfy Rule 10b5-1 under the Exchange Act, by signing the form and indicating the date that the plan was adopted or the instruction given, that person makes such representation as of the plan adoption or instruction date.
Signature	/s/ Francis Lo
ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)