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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

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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

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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	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

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.
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 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.
The earlier of (i) March 8, 2020 or (ii) the second anniversary of termination date.
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.
The earlier of (i) January 30, 2021 or (ii) the second anniversary of termination date.
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.
The earlier of (i) March 27, 2021 or (ii) the termination date.