SEC Form 4 · accession 0001209191-17-061608
Atara Biotherapeutics, Inc. · ATRA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Christopher Haqq
Officer — EVP, R&D & Chief Scientific Of
Period of report
Nov 15, 2017
Accepted (ET)
Nov 17, 2017 · 6:27 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 | Nov 15, 2017 | M | 829 | $0.00 | A | 344,134 | D | |
| Common StockF3 | Nov 15, 2017 | S | 1,604 | $13.36 | D | 342,530 | D | |
| Common StockF4 | holding | — | — | — | 17,312 | I | See footnote | |
| Common StockF5 | holding | — | — | — | 2,688 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF6,F7,F8 | — | Nov 15, 2017 | M | 829 | D | — | — | Common Stock | 829 | 553 | D |
Explanation of responses
- F1Shares issued upon settlement of vested restricted stock units ("RSUs").
- F2Transaction pursuant to Rule 10b5-1 Plan adopted September 27, 2016.
- F3The price in Column 4 is a weighted average sale price. The prices actually received ranged from $13.25 to $13.55. The reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.
- F4The shares are held by the Chris Haqq 2014 GRAT, of which the Reporting Person is trustee.
- F5The shares are held by The Havenside Trust, of which the Reporting Person is trustee.
- F6Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock or a cash settlement.
- F7The 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.
- F8The earlier of (i) January 10, 2021 or (ii) the recipient's termination date.