SEC Form 4 · accession 0001209191-18-008509
Atara Biotherapeutics, Inc. · ATRA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mitchall G. Clark
Officer — EVP & Chief R & QA Officer
Period of report
Feb 6, 2018
Accepted (ET)
Feb 8, 2018 · 5:43 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,F2 | Feb 6, 2018 | A | 25,000 | $0.00 | A | 188,054 | D | |
| Common Stock | Feb 6, 2018 | F | 4,437 | $35.80 | D | 183,617 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (Right to Buy)F4 | $35.80 | Feb 6, 2018 | A | 50,000 | A | — | Feb 6, 2025 | Common Stock | 50,000 | 50,000 | D |
Explanation of responses
- F1These restricted stock units vest in four equal annual installments on each of the first, second, third and fourth anniversaries of the grant date, subject to the reporting person's continuous service.
- F2Includes 2 shares issued on October 30, 2017 pursuant to the Issuer's Employee Stock Purchase Plan.
- F3Shares withheld to cover tax obligation from settlement of vested restricted stock units.
- F41/48th of the shares subject to the stock option vest and become exercisable each month following February 6, 2018.