Autolus HR chief discloses initial share holdings
Autolus Therapeutics plc Chief Human Resources Officer Alexander Swan filed an initial ownership report detailing his equity in the company.
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.
Positive
- None.
Negative
- None.
Insider Trade Summary
14 transactions reported
Mixed
14 txns
Insider
Swan Alexander
Role
Chief Human Resources Officer
| Type | Security | Shares | Price | Value |
|---|---|---|---|---|
| holding | American Depositary Shares | -- | -- | -- |
| holding | Share Option (right to buy) | -- | -- | -- |
| holding | Share Option (right to buy) | -- | -- | -- |
| holding | Share Option (right to buy) | -- | -- | -- |
| holding | Share Option (right to buy) | -- | -- | -- |
| holding | Share Option (right to buy) | -- | -- | -- |
| holding | Share Option (right to buy) | -- | -- | -- |
| holding | Share Option (right to buy) | -- | -- | -- |
| holding | Share Option (right to buy) | -- | -- | -- |
| holding | Share Option (right to buy) | -- | -- | -- |
| holding | Share Option (right to buy) | -- | -- | -- |
| holding | Share Option (right to buy) | -- | -- | -- |
| holding | Restricted Share Units | -- | -- | -- |
| holding | Share Option (right to buy) | -- | -- | -- |
Holdings After Transaction:
American Depositary Shares — 41,343 contracts (Direct);
Share Option (right to buy) — 1,659,676 contracts (Direct);
Restricted Share Units — 83,300 contracts (Direct)
Footnotes (10)
- F1. Each American Depositary Share is convertible at any time at the option of the Reporting Person into one Ordinary Share.
- F2. Fully vested and exercisable.
- F3. This option vested 25% on July 22, 2023 and the remainder vests in 36 equal monthly installments thereafter.
- F4. This option vested 25% on March 6, 2024 and the remainder vests in 36 equal monthly installments thereafter.
- F5. This option vested 25% on October 12, 2024 and the remainder vests in 36 equal monthly installments thereafter.
- F6. This option vested 25% on February 18, 2026 and the remainder vests in 36 equal monthly installments thereafter.
- F7. This option vested 25% on March 14, 2026 and the remainder vests in 36 equal monthly installments thereafter.
- F8. This option vests 25% on January 26, 2027 and the remainder vests in 36 equal monthly installments thereafter.
- F9. The restricted share units ("RSUs") vest in four equal annual installments commencing on January 26, 2027.
- F10. Each RSU represents a contingent right to receive one Issuer American Depositary Share.
FAQ
AI-generated questions and answers. How Rhea-AI works. Not financial advice.
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.
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.
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.
AI-generated analysis. How Rhea-AI works. Not financial advice.
