Filing Details
- Accession Number:
- 0001209191-15-067016
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2015-08-19 20:35:42
- Reporting Period:
- 2015-08-17
- Filing Date:
- 2015-08-19
- Accepted Time:
- 2015-08-19 20:35:42
- 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 |
|---|---|---|---|---|---|---|---|
| 1612094 | G. Mitchall Clark | 701 Gateway Boulevard Suite 200 South San Francisco CA 94080 | Chief R & Qa Officer | No | Yes | 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 | 2015-08-17 | 9,615 | $0.00 | 40,199 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2015-08-17 | 1,291 | $25.15 | 41,490 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2015-08-17 | 469 | $11.00 | 41,959 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2015-08-17 | 7,829 | $46.19 | 34,130 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Restricted Stock Units | Disposition | 2015-08-17 | 9,615 | $0.00 | 9,615 | $0.00 |
| Common Stock | Employee Stock Option (Right to Buy) | Disposition | 2015-08-17 | 1,291 | $0.00 | 1,291 | $25.15 |
| Common Stock | Employee Stock Option (Right to Buy) | Disposition | 2015-08-17 | 469 | $0.00 | 469 | $11.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 74,519 | No | 4 | M | Direct | ||
| 40,042 | 2022-01-16 | No | 4 | M | Direct | |
| 14,531 | 2021-10-14 | No | 4 | M | Direct |
Footnotes
- Shares issued upon settlement of vested restricted stock units ("RSUs").
- Transaction pursuant to Rule 10b5-1 Plan adopted May 15, 2015.
- Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock or a cash settlement.
- 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 vested on the closing date of the IPO, and the shares that vested thereafter through May 15, 2015, were settled on May 15, 2015. The service-based vesting condition provides that 25% of the total number of shares on March 17, 2015 and 1/48th of the total number of shares monthly thereafter, subject to the holder's continuous service through each such date.
- The earlier of (i) March 27, 2021 or (ii) the recepient's termination date.
- 1/48th of the shares subject to the stock option vest and become exercisable each month following January 16, 2015.
- 1/48th of the shares subject to the stock option vest and become exercisable each month following October 15, 2014.
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