Autolus Therapeutics (AUTL) HR chief reports ADS, option and RSU holdings

Rhea-AI Filing Summary

Autolus Therapeutics plc Chief Human Resources Officer Alexander Swan filed an initial ownership report detailing his equity in the company. He directly holds 41,343 American Depositary Shares, each convertible into one ordinary share. He also holds several share option grants over additional ADSs with exercise prices ranging from $1.46 to $29.86 and expirations between 2028 and 2036, plus 83,300 restricted share units that vest in four equal annual installments starting on January 26, 2027. The disclosure records existing equity awards and holdings rather than new market purchases or sales.

SEC Form 3

FORM 3

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

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:			3235-0104
Estimated average burden
hours per response:			0.5

1. Name and Address of Reporting Person^*

Swan Alexander

(Last) (First) (Middle)

C/O AUTOLUS THERAPEUTICS PLC

THE MEDIAWORKS, 191 WOOD LN, WHITE CITY

(Street)

LONDON W12 7FP

(City) (State) (Zip)

UNITED STATES

(Country)

2. Date of Event Requiring Statement (Month/Day/Year)
03/18/2026

3. Issuer Name and Ticker or Trading Symbol
Autolus Therapeutics plc [ AUTL ]

3a. Foreign Trading Symbol

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

4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	Chief Human Resources Officer

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 Beneficially Owned
1. Title of Security (Instr. 4)	2. Amount of Securities Beneficially Owned (Instr. 4)	3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	4. Nature of Indirect Beneficial Ownership (Instr. 5)

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4)	2. Date Exercisable and Expiration Date (Month/Day/Year)		3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)		4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
	Date Exercisable	Expiration Date	Title	Amount or Number of Shares
American Depositary Shares	(1)	(1)	Ordinary Shares	41,343	(1)	D
Share Option (right to buy)	(2)	05/31/2028	American Depositary Shares	39,246	$11.94	D
Share Option (right to buy)	(2)	12/20/2028	American Depositary Shares	16,470	$29.86	D
Share Option (right to buy)	(2)	12/16/2029	American Depositary Shares	18,960	$12.09	D
Share Option (right to buy)	(2)	10/01/2031	American Depositary Shares	40,000	$6.7	D
Share Option (right to buy)	(2)	12/15/2031	American Depositary Shares	75,000	$5.64	D
Share Option (right to buy)	(3)	07/22/2032	American Depositary Shares	150,000	$2.86	D
Share Option (right to buy)	(4)	03/06/2033	American Depositary Shares	250,000	$1.91	D
Share Option (right to buy)	(5)	10/12/2033	American Depositary Shares	250,000	$2.31	D
Share Option (right to buy)	(6)	02/18/2035	American Depositary Shares	200,000	$2.03	D
Share Option (right to buy)	(7)	03/14/2035	American Depositary Shares	200,000	$1.89	D
Share Option (right to buy)	(8)	01/26/2036	American Depositary Shares	375,000	$1.46	D
Restricted Share Units	(9)	(9)	American Depositary Shares	83,300	(10)	D
Share Option (right to buy)	(2)	01/15/2031	American Depositary Shares	45,000	$9.02	D

Explanation of Responses:

1. Each American Depositary Share is convertible at any time at the option of the Reporting Person into one Ordinary Share.

2. Fully vested and exercisable.

3. This option vested 25% on July 22, 2023 and the remainder vests in 36 equal monthly installments thereafter.

4. This option vested 25% on March 6, 2024 and the remainder vests in 36 equal monthly installments thereafter.

5. This option vested 25% on October 12, 2024 and the remainder vests in 36 equal monthly installments thereafter.

6. This option vested 25% on February 18, 2026 and the remainder vests in 36 equal monthly installments thereafter.

7. This option vested 25% on March 14, 2026 and the remainder vests in 36 equal monthly installments thereafter.

8. This option vests 25% on January 26, 2027 and the remainder vests in 36 equal monthly installments thereafter.

9. The restricted share units ("RSUs") vest in four equal annual installments commencing on January 26, 2027.

10. Each RSU represents a contingent right to receive one Issuer American Depositary Share.

	/s/ Alexander Swan	03/18/2026
	** 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 5 (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.
* Form 3: SEC 1473 (03-26)

FAQ

What does Alexander Swan’s Form 3 for Autolus Therapeutics (AUTL) show?

The Form 3 shows Alexander Swan’s existing equity holdings in Autolus Therapeutics, including common American Depositary Shares, multiple share option grants, and restricted share units. It is an initial ownership statement, not a record of new stock market purchases or sales.

How many Autolus Therapeutics (AUTL) American Depositary Shares does Alexander Swan hold directly?

Alexander Swan directly holds 41,343 American Depositary Shares of Autolus Therapeutics. Each American Depositary Share is convertible at any time, at his option, into one ordinary share of the issuer, reflecting his current direct equity stake separate from options and restricted share units.

What stock options are reported for Alexander Swan in the Autolus Therapeutics (AUTL) Form 3?

The Form 3 lists multiple share options giving Alexander Swan rights to buy additional American Depositary Shares at exercise prices from $1.46 to $29.86, with expirations between 2028 and 2036. Some options are fully vested and exercisable, while others vest over 36 monthly installments.

What restricted share units (RSUs) does Alexander Swan hold in Autolus Therapeutics (AUTL)?

Alexander Swan holds 83,300 restricted share units linked to Autolus Therapeutics American Depositary Shares. These RSUs vest in four equal annual installments beginning on January 26, 2027, and each unit represents a contingent right to receive one issuer American Depositary Share upon vesting.

Does Alexander Swan’s Autolus Therapeutics (AUTL) Form 3 indicate any recent stock trades?

The Form 3 does not indicate recent stock purchases or sales. Instead, it categorizes all entries as holdings, detailing Alexander Swan’s existing American Depositary Shares, option grants, and restricted share units, consistent with an initial statement of beneficial ownership for a company officer.

What is Alexander Swan’s role at Autolus Therapeutics (AUTL) as disclosed in the Form 3?

The filing identifies Alexander Swan as an officer of Autolus Therapeutics serving as Chief Human Resources Officer. This role explains why he must report his equity interests, including shares, options, and restricted share units, under insider reporting requirements for company officers.