Adaptive Biotechnologies officer sells shares for taxes

Adaptive Biotechnologies Corp Chief People Officer Francis Lo reported an automatic share sale tied to equity compensation.

Accepted by SEC EDGAR 03/09/2026 - 08:29 PM EDT Learn about SEC filing dates

Rhea-AI Filing Summary

Adaptive Biotechnologies Corp Chief People Officer Francis Lo reported an automatic share sale tied to equity compensation. On the RSU vesting date, 38,074 shares of common stock were sold to cover tax withholding obligations under a mandated “sell to cover” arrangement, rather than as a discretionary trade.

After this tax-related sale, Francis Lo directly owned 321,967 common shares. An additional 2,500 common shares were reported as indirectly owned through Lo’s spouse, You Jin Lee.

Insider Trade Summary

Net Seller: 38,074 shares

Net Sell 1 txn

Insider LO FRANCIS

Role Chief People Officer

Sold 38,074 shs ($575K)

Type	Security	Shares	Price	Value
Sale	Common Stock	38,074	$15.09	$575K
Holding	Common Stock	--	--	--

Holdings After Transaction: Common Stock — 321,967 shares (Direct); Common Stock — 2,500 shares (Indirect, By You Jin Lee (spouse))

Footnotes (1)

1. F1. This transaction represents the number of shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of RSUs. This sale is mandated by the Issuer's election under its equity incentive plans to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary trade by the Reporting Person.

FAQ

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

What insider transaction did Adaptive Biotechnologies (ADPT) report for Francis Lo?

Adaptive Biotechnologies reported that Chief People Officer Francis Lo had 38,074 common shares sold to cover tax withholding on vested RSUs. The transaction was a mandated “sell to cover” and not a discretionary open-market sale.

Was the Adaptive Biotechnologies (ADPT) insider sale by Francis Lo discretionary?

No, the sale was not discretionary. The 38,074 shares were sold solely to satisfy tax withholding obligations upon RSU vesting under a company election requiring a “sell to cover” transaction, according to the disclosed footnote.

How many Adaptive Biotechnologies (ADPT) shares does Francis Lo own after the transaction?

Following the tax-related sale, Chief People Officer Francis Lo directly owned 321,967 shares of Adaptive Biotechnologies common stock. The filing also reports 2,500 additional shares held indirectly through Lo’s spouse, You Jin Lee.

What is the role of Francis Lo at Adaptive Biotechnologies (ADPT)?

Francis Lo serves as the Chief People Officer of Adaptive Biotechnologies. The Form 4 filing associates the reported RSU-related tax sale and the disclosed direct and indirect share holdings with this executive position.

At what price were Francis Lo’s Adaptive Biotechnologies (ADPT) shares sold?

The tax-related sale of 38,074 common shares tied to RSU vesting occurred at a reported price of $15.09 per share. This transaction was mandated to cover tax withholding obligations, not initiated as an elective market trade.

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

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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).

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 AVENUE EAST

(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)
03/05/2026

4. If Amendment, Date of Original Filed (Month/Day/Year)

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	03/05/2026		S(1)		38,074	D	$15.09	321,967	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

Explanation of Responses:

1. This transaction represents the number of shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of RSUs. This sale is mandated by the Issuer's election under its equity incentive plans to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary trade by the Reporting Person.

	/s/ Francis Lo by Kyle Piskel, Attorney-in-Fact	03/09/2026
	** 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.