SEC Form 4 · accession 0001209191-15-081091

Atara Biotherapeutics, Inc. · ATRA

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

Reporting owner

Carol Giltner Gallagher

Director

Period of report

Nov 16, 2015

Accepted (ET)

Nov 18, 2015 · 6:55 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
Common Stock^F1	Nov 16, 2015	M	1,549	$0.00	A	93,465	D
Common Stock^F1	Nov 16, 2015	M	817	$0.00	A	94,282	D
Common Stock	Nov 17, 2015	S	1,184	$31.10	D	93,098	D

Table II — derivative securities

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	1,549	D	—	—	Common Stock	1,549	13,936	D
Restricted Stock Units^F3,F6,F7	—	Nov 16, 2015	M	817	D	—	—	Common Stock	817	7,900	D

Explanation of responses

F1Shares issued upon settlement of vested restricted stock units.
F2Transaction pursuant to Rule 10b5-1 Plan adopted May 22, 2015.
F3Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock or a cash settlement.
F4The 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 vested on the closing date of the IPO, and the shares that vested thereafter through August 17, 2015, were settled on August 17, 2015. The service-based vesting condition provides that 1/48th of the total number of shares vest monthly from January 30, 2014, subject to the holder's continuous service through each such date.
F5The earlier of (i) January 30, 2021 or (ii) the second anniversary of termination date.
F6The 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 vested on the closing date of the IPO, and the shares that vested thereafter through August 17, 2015, were settled on August 17, 2015. The service-based vesting condition provides that 1/48th of the total number of shares vest monthly from March 25, 2014, subject to the holder's continuous service through each such date.
F7The earlier of (i) March 27, 2021 or (ii) the recipient's termination date.