SEC Form 4 · accession 0001209191-17-002064
Atara Biotherapeutics, Inc. · ATRA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Joel S Marcus
Director
Period of report
Jan 3, 2017
Accepted (ET)
Jan 5, 2017 · 4:21 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 StockF1 | Jan 3, 2017 | A | 2,000 | $0.00 | A | 2,000 | D | |
| Common Stock | holding | — | — | — | 4,000 | I | Held by the Joel S. Marcus and Barbara A. Marcus Family Trust | |
| Common StockF2 | holding | — | — | — | 908,355 | I | See Footnote |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Non-Qualified Stock Option (Right to Buy)F3 | $15.08 | Jan 3, 2017 | A | 5,500 | A | — | Jan 3, 2024 | Common Stock | 5,500 | 5,500 | D |
Explanation of responses
- F1These restricted stock units shall vest on June 8, 2017, the date of the Company's annual stockholder meeting, subject to the Reporting Person's continuous service.
- F2Consists of shares of common stock held by Alexandria Equities, LLC. Mr. Marcus is the Chairman, CEO and Founder of Alexandria Real Estate Equities, Inc., which is the managing member of Alexandria Equities, LLC, which has full voting and investment power with respect to the shares owned by Alexandria Equities, LLC. As an officer of Alexandria Real Estate Equities, Inc., Mr. Marcus may be deemed to have voting and investment power with respect to the shares owned by Alexandria Equities, LLC. Mr. Marcus disclaims beneficial ownership of the shares held by Alexandria Equities, LLC, except to the extent of his underlying pecuniary interest therein.
- F3The option shall vest on June 8, 2017, the date of the Company's annual stockholder meeting, subject to the Reporting Person's continuous service.