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Adaptive Biotechnologies (NASDAQ: ADPT) officer logs option exercise, sale

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(Neutral)
Filing Sentiment
(Neutral)
Form Type
4/A

Rhea-AI Filing Summary

Adaptive Biotechnologies officer Francis Lo, the Chief People Officer, reported option exercises and a related stock sale for company shares. On December 22, 2025, Lo exercised stock options to acquire 1,100 shares at $7.80, 1,100 shares at $8.46, and 2,194 shares at $3.99 per share, then sold 4,394 shares of common stock at a weighted-average price of $17.50. These transactions were carried out under a pre-arranged Rule 10b5-1 trading plan adopted on September 15, 2025. After the transactions, Lo directly beneficially owned 315,978 shares of common stock and held additional indirect ownership of 2,500 shares through spouse You Jin Lee, along with multiple remaining stock option positions.

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Insider LO FRANCIS
Role Chief People Officer
Sold 4,394 shs ($77K)
Type Security Shares Price Value
Exercise Stock Option (right to buy) 1,100 $0.00 --
Exercise Stock Option (right to buy) 1,100 $0.00 --
Exercise Stock Option (right to buy) 2,194 $0.00 --
Exercise Common Stock 1,100 $7.80 $9K
Exercise Common Stock 1,100 $8.46 $9K
Exercise Common Stock 2,194 $3.99 $9K
Sale Common Stock 4,394 $17.50 $77K
holding Common Stock -- -- --
Holdings After Transaction: Stock Option (right to buy) — 112,150 shares (Direct); Common Stock — 317,078 shares (Direct); Common Stock — 2,500 shares (Indirect, By You Jin Lee (spouse))
Footnotes (1)
  1. 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. 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. The option is fully vested and exercisable. 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. 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.
Form 4 Insider Transactions: What Each Field Means →
SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response: 0.5
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
X
 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*
LO FRANCIS
(Last) (First) (Middle)
C/O ADAPTIVE BIOTECHNOLOGIES CORPORATION
1165 EASTLAKE AVE E
(Street)
SEATTLE WA 98109
(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
Adaptive Biotechnologies Corp [ ADPT ] 		5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
Chief People Officer
3. Date of Earliest Transaction (Month/Day/Year)
12/22/2025
4. If Amendment, Date of Original Filed (Month/Day/Year)
12/29/2025 		6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 12/22/2025 M(1) 1,100 A $7.8 317,078 D
Common Stock 12/22/2025 M(1) 1,100 A $8.46 318,178 D
Common Stock 12/22/2025 M(1) 2,194 A $3.99 320,372 D
Common Stock 12/22/2025 S(1) 4,394 D $17.5(2) 315,978 D
Common Stock 2,500 I By You Jin Lee (spouse)
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Stock Option (right to buy) $7.8 12/22/2025 M(1) 1,100 (3) 05/06/2029 Common Stock 1,100 $0 112,150 D
Stock Option (right to buy) $8.46 12/22/2025 M(1) 1,100 (4) 03/06/2033 Common Stock 1,100 $0 108,076 D
Stock Option (right to buy) $3.99 12/22/2025 M(1) 2,194 (5) 03/04/2034 Common Stock 2,194 $0 107,981 D
Explanation of Responses:
1. 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.
2. 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.
3. The option is fully vested and exercisable.
4. 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.
5. 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.
/s/ Francis Lo by Kyle Piskel, Attorney-in-Fact 01/07/2026
** Signature of Reporting Person Date
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.

Source: View Original Filing on SEC EDGAR

FAQ

What insider activity did Adaptive Biotechnologies (ADPT) report in this Form 4/A?

The filing shows Chief People Officer Francis Lo exercised several stock options and sold 4,394 shares of Adaptive Biotechnologies common stock on December 22, 2025.

At what prices did the Adaptive Biotechnologies (ADPT) insider sell and acquire shares?

Francis Lo exercised options to acquire shares at $7.80, $8.46, and $3.99 per share, and sold 4,394 shares at a weighted-average price of $17.50.

Was the Adaptive Biotechnologies (ADPT) insider trade made under a Rule 10b5-1 plan?

Yes. The filing states the transactions were executed under a Rule 10b5-1 trading plan adopted by Francis Lo on September 15, 2025.

How many Adaptive Biotechnologies (ADPT) shares does the insider hold after these transactions?

Following the reported transactions, Francis Lo beneficially owned 315,978 shares of common stock directly and 2,500 shares indirectly through spouse You Jin Lee, plus multiple stock option positions.

What stock options for Adaptive Biotechnologies (ADPT) remain after the transactions?

After the exercises, Lo held stock options with remaining positions of 112,150, 108,076, and 107,981 options, each relating to Adaptive Biotechnologies common stock.

What is Francis Lo’s role at Adaptive Biotechnologies (ADPT)?

Francis Lo is identified in the filing as an officer of Adaptive Biotechnologies, serving as the company’s Chief People Officer.