Filing Details

Accession Number:
0001209191-16-121434
Form Type:
4
Zero Holdings:
No
Publication Time:
2016-05-18 19:05:24
Reporting Period:
2016-05-16
Filing Date:
2016-05-18
Accepted Time:
2016-05-18 19:05:24
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
1612095 Christopher Haqq 611 Gateway Boulevard
Suite 900
South San Francisco CA 94080
Chief Medical 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 2016-05-16 830 $0.00 296,070 No 4 M Direct
Common Stock Disposition 2016-05-16 1,605 $15.57 294,465 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
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 2016-05-16 830 $0.00 830 $0.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
5,527 No 4 M Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 17,312 Indirect See footnote
Common Stock 2,688 Indirect See footnote
Footnotes
  1. Shares issued upon settlement of vested restricted stock units ("RSUs").
  2. Transaction pursuant to Rule 10b5-1 Plan adopted December 17, 2015.
  3. The price in Column 4 is a weighted average sale price. The prices actually received ranged from $15.11 to $16.04. The reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.
  4. The shares are held by the Chris Haqq 2014 GRAT, of which the Reporting Person is trustee.
  5. The shares are held by The Havenside Trust, of which the Reporting Person is trustee.
  6. Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock or a cash settlement.
  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 inorder 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 1/48th of the total number of shares shall vest monthly from January 10, 2014, subject to the holder's continuous service through each such date.
  8. The earlier of (i) January 10, 2021 or (ii) the recipient's termination date.