SEC Form 4 · accession 0001209191-18-011662

Atara Biotherapeutics, Inc. · ATRA

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

Reporting owner

Isaac E. Ciechanover

Officer — Chief Executive Officer · Director

Period of report

Feb 15, 2018

Accepted (ET)

Feb 20, 2018 · 8:22 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 Stock^F2,F3	Feb 15, 2018	S	2,500	$45.58	D	260,378	I	See footnote
Common Stock^F4,F3	Feb 15, 2018	S	2,433	$46.71	D	257,945	I	See footnote
Common Stock^F5,F3	Feb 15, 2018	S	4,767	$47.56	D	253,178	I	See footnote
Common Stock^F3	Feb 15, 2018	S	300	$48.25	D	252,878	I	See footnote
Common Stock^F2,F3	Feb 16, 2018	S	3,000	$45.44	D	249,878	I	See footnote
Common Stock^F6,F3	Feb 16, 2018	S	1,600	$46.55	D	248,278	I	See footnote
Common Stock^F7,F3	Feb 16, 2018	S	5,100	$47.91	D	243,178	I	See footnote
Common Stock^F8,F3	Feb 16, 2018	S	300	$48.43	D	242,878	I	See footnote
Common Stock^F9	Feb 15, 2018	M	3,938	$0.00	A	812,613	D

Table II — derivative securities

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Restricted Stock Units^F10,F11,F12	—	Feb 15, 2018	M	3,938	D	—	—	Common Stock	3,938	0	D

Explanation of responses

F1Transaction pursuant to Rule 10b5-1 Plan adopted May 18, 2017.
F10Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock or a cash settlement.
F11Fully vested.
F12The earlier of (i) January 10, 2021 or (ii) the recipient's termination date.
F2The price in Column 4 is a weighted average sale price. The prices actually received ranged from $45.00 to $46.00. 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.
F3Shares 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.
F4The price in Column 4 is a weighted average sale price. The prices actually received ranged from $46.10 to $47.10. 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.
F5The price in Column 4 is a weighted average sale price. The prices actually received ranged from $47.15 to $48.15. 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.
F6The price in Column 4 is a weighted average sale price. The prices actually received ranged from $46.15 to $47.10. 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.
F7The price in Column 4 is a weighted average sale price. The prices actually received ranged from $47.25 to $48.20. 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.
F8The price in Column 4 is a weighted average sale price. The prices actually received ranged from $48.30 to $48.55. 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.
F9Shares issued upon settlement of vested restricted stock units ("RSUs").