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[Form 3] Autolus Therapeutics plc Initial Statement of Beneficial Ownership

Filing Impact
(Neutral)
Filing Sentiment
(Neutral)
Form Type
3

Rhea-AI Filing Summary

Autolus Therapeutics plc director John E. Berriman filed an initial ownership report showing his current equity position. He directly holds 136,331 Ordinary Shares, which may be represented by American Depositary Shares, each currently equal to one ordinary share.

He also holds several share options over American Depositary Shares, with exercise prices ranging from $2.32 to $30.24 per share and expirations between February 2028 and June 2035. Footnotes state that certain options are fully vested and exercisable and that one grant vests in twelve equal monthly installments commencing on July 26, 2025.

Positive

  • None.

Negative

  • None.
Insider Berriman John E
Role Director
Type Security Shares Price Value
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 Ordinary Shares -- -- --
Holdings After Transaction: Share Option (right to buy) — 15,698 shares (Direct); Ordinary Shares — 136,331 shares (Direct)
Footnotes (1)
  1. The Ordinary Shares may be represented by American Depositary Shares, each of which currently represents one ordinary share. Fully vested and exercisable. This option vested or vests in twelve equal monthly installments commencing on July 26, 2025.
SEC Form 3
FORM 3UNITED 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*
Berriman John E

(Last)(First)(Middle)
C/O AUTOLUS THERAPEUTICS PLC
THE MEDIAWORKS, 191 WOOD LN, WHITE CITY

(Street)
LONDONW12 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)
XDirector10% Owner
Officer (give title below)Other (specify below)
6. Individual or Joint/Group Filing (Check Applicable Line)
XForm 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)
Ordinary Shares(1)136,331D
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 ExercisableExpiration DateTitleAmount or Number of Shares
Share Option (right to buy) (2)02/23/2028American Depositary Shares15,698$8.38D
Share Option (right to buy) (2)03/28/2029American Depositary Shares25,000$30.24D
Share Option (right to buy) (2)06/18/2030American Depositary Shares12,500$13.25D
Share Option (right to buy) (2)06/18/2031American Depositary Shares12,500$7.57D
Share Option (right to buy) (2)06/28/2032American Depositary Shares20,000$2.84D
Share Option (right to buy) (2)06/30/2033American Depositary Shares105,000$2.38D
Share Option (right to buy) (2)06/28/2034American Depositary Shares80,000$3.48D
Share Option (right to buy) (3)06/26/2035American Depositary Shares80,000$2.32D
Explanation of Responses:
1. The Ordinary Shares may be represented by American Depositary Shares, each of which currently represents one ordinary share.
2. Fully vested and exercisable.
3. This option vested or vests in twelve equal monthly installments commencing on July 26, 2025.
/s/ John Berriman03/18/2026
** Signature of Reporting PersonDate
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)