SEC Form 4 · accession 0001209191-17-002279
Atara Biotherapeutics, Inc. · ATRA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Beth C Seidenberg
Director
Period of report
Jan 3, 2017
Accepted (ET)
Jan 5, 2017 · 5:49 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 | 8,689 | D | |
| Common StockF2 | holding | — | — | — | 1,822,228 | I | See Footnote | |
| Common StockF3 | holding | — | — | — | 54,422 | I | See Footnote | |
| Common StockF4 | holding | — | — | — | 197 | I | See Footnote | |
| Common StockF5 | holding | — | — | — | 197 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| NonQualified Stock Option (Right to Buy)F6 | $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.
- F2The shares are directly held by Kleiner Perkins Caufield & Byers XV, LLC ("KPCB XV"). All shares are held for convenience in the name of "KPCB Holdings, Inc., as nominee". The managing member of KPCB XV is XV Associates. The voting and dispositive control over the shares is shared by individual managing members of XV Associates, none of whom has veto power.
- F3The shares are directly held by KPCB XV Founders Fund, LLC ("KPCB XV FF"). All shares are held for convenience in the name of "KPCB Holdings, Inc., as nominee". The managing member of KPCB XV FF is XV Associates. The voting and dispositive control over the shares is shared by individual managing members of XV Associates, none of whom has veto power.
- F4Shares held by the Michael J. Seidenberg Irrevocable Trust, established July 1, 2013, of which the Reporting Person is a trustee.
- F5Shares held by the Samuel B. Seidenberg Irrevocable Trust, established July 1, 2013, of which the Reporting Person is a trustee.
- F6The option shall vest on June 8, 2017, the date of the Company's annual stockholder meeting, subject to the Reporting Person's continuous service.