SEC Form 4 · accession 0001209191-15-081087

Atara Biotherapeutics, Inc. · ATRA

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — Chief R & QA Officer

Period of report

Nov 16, 2015

Accepted (ET)

Nov 18, 2015 · 6:53 pm EST

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001604464

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I	Nature of ownership
Common Stock^F1	Nov 16, 2015	M	4,808	$0.00	A	38,938	D
Common Stock	Nov 16, 2015	S	4,153	$31.67	D	34,785	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Restricted Stock Units^F3,F4,F5	—	Nov 16, 2015	M	4,808	D	—	—	Common Stock	4,808	69,711	D

F1Shares issued upon settlement of vested restricted stock units ("RSUs").
F2Transaction pursuant to Rule 10b5-1 Plan adopted May 15, 2015.
F3Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock or a cash settlement.
F4The 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.
F5The earlier of (i) March 27, 2021 or (ii) the recepient's termination date.