Filing Details
- Accession Number:
- 0001209191-17-011763
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-02-16 20:08:19
- Reporting Period:
- 2017-02-15
- Filing Date:
- 2017-02-16
- Accepted Time:
- 2017-02-16 20:08:19
- 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 |
|---|---|---|---|---|---|---|---|
| 1612096 | E. Isaac Ciechanover | 611 Gateway Boulevard Suite 900 South San Francisco CA 94080 | Chief Executive Officer | Yes | 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 | 2017-02-15 | 5,907 | $0.00 | 725,951 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2017-02-15 | 2,400 | $15.54 | 351,378 | No | 4 | S | Indirect | See footnote |
| Common Stock | Disposition | 2017-02-16 | 2,400 | $15.57 | 348,978 | No | 4 | S | Indirect | See footnote |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Indirect | See footnote |
| No | 4 | S | Indirect | See footnote |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Restricted Stock Units | Disposition | 2017-02-15 | 5,907 | $0.00 | 5,907 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 21,662 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 180,000 | Indirect | See footnote |
Footnotes
- Shares issued upon settlement of vested restricted stock units ("RSUs").
- Transaction pursuant to Rule 10b5-1 Plan adopted March 22, 2016.
- The price in Column 4 is a weighted average sale price. The prices actually received ranged from $15.35 to $16.00. 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.
- Shares are held by the Isaac E. Ciechanover and Allison M. Ciechanover Family Trust dated 8/8/08, of which the Reporting Person is a trustee.
- The price in Column 4 is a weighted average sale price. The prices actually received ranged from $15.35 to $16.00. 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.
- Sheld are held by the The Ciechanover 2015 GRAT, of which the Reporting Person is a trustee.
- 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 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.
- The earlier of (i) January 10, 2021 or (ii) the recipient's termination date.
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