Filing Details

Accession Number:
0001209191-16-121436
Form Type:
4
Zero Holdings:
No
Publication Time:
2016-05-18 19:06:56
Reporting Period:
2016-05-16
Filing Date:
2016-05-18
Accepted Time:
2016-05-18 19:06:56
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
1612090 Gad Soffer 611 Gateway Boulevard
Suite 900
South San Francisco CA 94080
Chief Operating 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 9,615 $0.00 138,125 No 4 M Direct
Common Stock Acquisiton 2016-05-16 4,146 $0.00 142,271 No 4 M Direct
Common Stock Disposition 2016-05-17 5,427 $15.91 136,844 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 2016-05-16 9,615 $0.00 9,615 $0.00
Common Stock Restricted Stock Units Disposition 2016-05-16 4,146 $0.00 4,146 $0.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
35,257 No 4 M Direct
27,638 No 4 M Direct
Footnotes
  1. Shares issued upon settlement of vested restricted stock units ("RSUs").
  2. Transaction pursuant to Rule 10b5-1 Plan adopted May 14, 2015.
  3. Shares sold to cover tax liability from settlement of RSUs.
  4. The price in Column 4 is a weighted average sale price. The prices actually received ranged from $15.5862 to $16.33. 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.
  5. Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock or a cash settlement.
  6. 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 25, 2014 and 1/48th of the total number of shares monthly thereafter, subject to the holder's continuous service through each such date.
  7. The earlier of (i) March 13, 2020 or (ii) the recipient's termination date.
  8. 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.
  9. The earlier of (i) January 10, 2021 or (ii) the recipient's termination date.