Filing Details

Accession Number:
0001209191-17-049447
Form Type:
4
Zero Holdings:
No
Publication Time:
2017-08-17 17:34:54
Reporting Period:
2017-08-15
Filing Date:
2017-08-17
Accepted Time:
2017-08-17 17:34:54
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
1612094 G. Mitchall Clark 611 Gateway Boulevard
Suite 900
South San Francisco CA 94080
Evp & Chief R & Qa 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 2017-08-15 7,211 $0.00 162,151 No 4 M Direct
Common Stock Disposition 2017-08-16 3,021 $14.33 159,130 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
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 Unites Disposition 2017-08-15 7,211 $0.00 7,211 $0.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
19,231 No 4 M Direct
Footnotes
  1. Shares issued upon settlement of vested restricted stock units ("RSUs").
  2. Includes 1,940 shares issued on May 31, 2017 pursuant to the Issuer's Employee Stock Purchase Plan.
  3. Shares sold to cover tax obligation from settlement of vested restricted stock units.
  4. Transaction pursuant to Rule 10b5-1 Plan adopted October 12, 2016.
  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 17, 2015 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 27, 2021 or (ii) the recepient's termination date.