Upgrade to SI Premium - Free Trial

Form 3 Autolus Therapeutics For: Mar 18 Filed by: Swan Alexander

March 18, 2026 7:47 PM
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
Expires: December 31, 2014
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)
2. Date of Event Requiring Statement (Month/Day/Year)
03/18/2026 		3. Issuer Name and Ticker or Trading Symbol
Autolus Therapeutics plc [ AUTL ]
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
 5. 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 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 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.

Categories

SEC Filings