Filing Details
- Accession Number:
- 0001209191-18-011674
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2018-02-20 20:25:40
- Reporting Period:
- 2018-02-15
- Accepted Time:
- 2018-02-20 20:25:40
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1604464 | Atara Biotherapeutics Inc. | ATRA | () | 4 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1329959 | Giltner Carol Gallagher | C/O Atara Biotherapeutics, Inc. 611 Gateway Boulevard, Suite 900 South San Francisco CA 94080 | 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 | 2018-02-15 | 1,548 | $0.00 | 111,286 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2018-02-15 | 817 | $0.00 | 112,103 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2018-02-16 | 1,183 | $46.50 | 110,920 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| 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 | 2018-02-15 | 1,548 | $0.00 | 1,548 | $0.00 |
| Common Stock | Restricted Stock Units | Disposition | 2018-02-15 | 817 | $0.00 | 817 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | No | 4 | M | Direct | ||
| 545 | No | 4 | M | Direct |
Footnotes
- Shares issued upon settlement of vested restricted stock units.
- Transaction pursuant to Rule 10b5-1 Plan adopted October 14, 2016.
- 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 vested on the closing date of the IPO, and the shares that vested thereafter through August 17, 2015, were settled on August 17, 2015. The service-based vesting condition provides that 1/48th of the total number of shares vest monthly from January 30, 2014, subject to the holder's continuous service through each such date.
- The earlier of (i) January 30, 2021 or (ii) the second anniversary of termination date.
- 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 vested on the closing date of the IPO, and the shares that vested thereafter through August 17, 2015, were settled on August 17, 2015. The service-based vesting condition provides that 1/48th of the total number of shares vest monthly from March 25, 2014, subject to the holder's continuous service through each such date.
- The earlier of (i) March 27, 2021 or (ii) the recipient's termination date.
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