SEC Form 4 · accession 0001209191-17-049446

Atara Biotherapeutics, Inc. · ATRA

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

Reporting owner

Officer — Chief Executive Officer · Director

Period of report

Aug 15, 2017

Accepted (ET)

Aug 17, 2017 · 5:34 pm EDT

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	Aug 15, 2017	M	5,908	$0.00	A	737,767	D
Common Stock^F2	holding	—	—		—	446,178	I	See footnote

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Restricted Stock Units^F3,F4,F5	—	Aug 15, 2017	M	5,908	D	—	—	Common Stock	5,908	9,846	D

F1Shares issued upon settlement of vested restricted stock units ("RSUs").
F2Shares are held by the Isaac E. Ciechanover and Allison M. Ciechanover Family Trust dated 8/8/08, of which the Reporting Person is a trustee.
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 1/48th of the total number of shares shall vest monthly from January 10, 2014, subject to the holder's continuous service through each such date.
F5The earlier of (i) January 10, 2021 or (ii) the recipient's termination date.