Filing Details
- Accession Number:
- 0001209191-14-064592
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-10-23 18:54:57
- Reporting Period:
- 2014-10-21
- Filing Date:
- 2014-10-23
- Accepted Time:
- 2014-10-23 18:54:57
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1604464 | Atara Biotherapeutics Inc. | ATRA | Biological Products, (No Disgnostic Substances) (2836) | 460920988 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1329959 | Giltner Carol Gallagher | C/O Atara Biotherapeutics, Inc. 3260 Bayshore Boulevard Brisbane CA 94005 | Yes | No | No | No |
Reported Non-Derivative Transactions
Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|---|---|---|---|---|---|
Common Stock | Acquisiton | 2014-10-21 | 33,475 | $0.00 | 33,475 | No | 4 | C | Direct | |
Common Stock | Acquisiton | 2014-10-21 | 18,181 | $11.00 | 51,656 | No | 4 | P | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | C | Direct | |
No | 4 | P | Direct |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | Restricted Stock Unit | Acquisiton | 2014-10-21 | 44,871 | $0.00 | 44,871 | $0.00 |
Common Stock | Restricted Stock Unit | Acquisiton | 2014-10-21 | 24,776 | $0.00 | 24,776 | $0.00 |
Common Stock | Restricted Stock Unit | Acquisiton | 2014-10-21 | 13,076 | $0.00 | 13,076 | $0.00 |
Common Stock | Series A Preferred Stock | Disposition | 2014-10-21 | 22,500 | $0.00 | 22,500 | $0.00 |
Common Stock | Series B Preferred Stock | Disposition | 2014-10-21 | 10,975 | $0.00 | 10,975 | $0.00 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
44,871 | No | 4 | A | Direct | ||
24,776 | No | 4 | A | Direct | ||
13,076 | No | 4 | A | Direct | ||
0 | No | 4 | C | Direct | ||
0 | No | 4 | C | Direct |
Footnotes
- Each share of preferred stock converted into one shares of the Issuer's common stock upon the closing of the Issuer's initial public officer. The shares had no expiration date.
- Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock or a cash settlement.
- The restricted stock units ("RSUs") were granted with both (a) a liquidity event-based vesting condition and (b) a service-based vesting condition, both of which conditions must be satisfied in order for the RSUs to vest. The liquidity event-based condition was satisfied upon the closing of the Issuer's initial public offering (the "IPO"). The shares that vest on the closing date of the IPO shall be settled on the first business day after the date that is six months after the closing of the IPO. For RSUs that vest after the closing of the IPO, the settlement shall occur on the first business day in January of the year immediately following the year in which the RSUs became vested. The RSUs vest as follows: 1/48th of the total number of shares monthly from March 8, 2013.
- The earlier of (i) March 8, 2020 or (ii) the second anniversary of termination date.
- The RSUs were granted with both (a) a liquidity event-based vesting condition and (b) a service-based vesting condition, both of which conditions must be satisfied in order for the RSUs to vest. The liquidity event-based condition was satisfied upon the closing of the Issuer's IPO. The shares that vest on the closing date of the IPO shall be settled on the first business day after the date that is six months after the closing of the IPO. For RSUs that vest after the closing of the IPO, the settlement shall occur on the first business day in January of the year immediately following the year in which the RSUs became vested. The RSUs vest as follows: 1/48th of the total number of shares monthly from January 30, 2014.
- The earlier of (i) January 30, 2021 or (ii) the second anniversary of termination date.
- The RSUs were granted with both (a) a liquidity event-based vesting condition and (b) a service-based vesting condition, both of which conditions must be satisfied in order for the RSUs to vest. The liquidity event-based condition was satisfied upon the closing of the Issuer's initial public offering (the "IPO"). The shares that vest on the closing date of the IPOshall be settled March 16, 2015. The RSUs vest as follows: 1/48th of the total number of shares monthly from March 25, 2014.
- The earlier of (i) March 27, 2021 or (ii) the termination date.