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
  1. 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.
  2. Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock or a cash settlement.
  3. 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.
  4. The earlier of (i) March 8, 2020 or (ii) the second anniversary of termination date.
  5. 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.
  6. The earlier of (i) January 30, 2021 or (ii) the second anniversary of termination date.
  7. 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.
  8. The earlier of (i) March 27, 2021 or (ii) the termination date.