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Filing Details

Accession Number:: 0001209191-17-033185
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2017-05-17 16:56:21
Reporting Period:: 2017-05-15

Filing Date:: 2017-05-17
Accepted Time:: 2017-05-17 16:56:21
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	Evp & Chief Strategy Officer	No	Yes	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
Common Stock	Disposition	2017-05-15	7,000	$15.13	259,527	No	4	S	Direct
Common Stock	Acquisiton	2017-05-15	6,410	$0.00	265,937	No	4	M	Direct
Common Stock	Acquisiton	2017-05-15	4,146	$0.00	270,083	No	4	M	Direct
Common Stock	Disposition	2017-05-16	5,674	$15.19	264,409	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	4	S	Direct
No	4	M	Direct
No	4	M	Direct
No	4	S	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 Units	Disposition	2017-05-15	6,410	$0.00	6,410	$0.00
Common Stock	Restricted Stock Units	Disposition	2017-05-15	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
0			No	4	M	Direct
11,055			No	4	M	Direct

Footnotes

Transaction pursuant to Rule 10b5-1 Plan adopted September 26, 2016.
The price in Column 4 is a weighted average sale price. The prices actually received ranged from $15.00 to $15.25. 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 issued upon settlement of vested restricted stock units ("RSUs").
Shares sold to cover tax liability from settlement of RSUs.
The price in Column 4 is a weighted average sale price. The prices actually received ranged from $15.00 to $15.30. 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.
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 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.
The earlier of (i) March 13, 2020 or (ii) the recipient's 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 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.