SEC Form 4 · accession 0001209191-18-011667
Atara Biotherapeutics, Inc. · ATRA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Gad Soffer
Officer — EVP & Chief Strategy Officer
Period of report
Feb 15, 2018
Accepted (ET)
Feb 20, 2018 · 8:23 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 | Feb 15, 2018 | M | 2,764 | $0.00 | A | 268,344 | D | |
| Common Stock | Feb 15, 2018 | F | 1,456 | $47.05 | D | 266,888 | 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 UnitsF3,F4,F5 | — | Feb 15, 2018 | M | 2,764 | D | — | — | Common Stock | 2,764 | 0 | D |
Explanation of responses
- F1Shares issued upon settlement of vested restricted stock units ("RSUs").
- F2Shares withheld to cover tax obligation from settlement of vested restricted stock units.
- F3Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock or a cash settlement.
- F4Fully vested.
- F5The earlier of (i) January 10, 2021 or (ii) the recipient's termination date.