SEC Form 4 · accession 0001209191-18-021991
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
Mar 27, 2018
Accepted (ET)
Mar 28, 2018 · 8:10 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 | Mar 27, 2018 | M | 28,848 | $25.15 | A | 212,368 | D | |
| Common Stock | Mar 27, 2018 | M | 32,500 | $22.72 | A | 244,868 | D | |
| Common Stock | Mar 27, 2018 | M | 11,406 | $11.00 | A | 256,274 | D | |
| Common StockF2 | Mar 27, 2018 | S | 22,794 | $36.43 | D | 233,480 | D | |
| Common StockF3 | Mar 27, 2018 | S | 31,356 | $37.10 | D | 202,124 | D | |
| Common StockF4 | Mar 27, 2018 | S | 29,980 | $38.23 | D | 172,144 | D | |
| Common StockF5 | Mar 27, 2018 | S | 2,170 | $39.53 | D | 169,974 | D | |
| Common StockF6 | Mar 27, 2018 | S | 2,800 | $40.40 | D | 167,174 | D | |
| Common Stock | Mar 27, 2018 | S | 11,103 | $41.10 | D | 156,071 | 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)F7 | $25.15 | Mar 27, 2018 | M | 28,848 | D | — | Jan 16, 2022 | Common Stock | 28,848 | 11,194 | D |
| Employee Stock Option (Right to Buy)F8 | $22.72 | Mar 27, 2018 | M | 32,500 | D | — | Dec 17, 2022 | Common Stock | 32,500 | 32,500 | D |
| Employee Stock Option (Right to Buy)F9 | $11.00 | Mar 27, 2018 | M | 11,406 | D | — | Oct 14, 2021 | Common Stock | 11,406 | 3,125 | D |
Explanation of responses
- F1Transaction pursuant to Rule 10b5-1 Plan adopted January 25, 2018.
- F2The price in Column 4 is a weighted average sale price. The prices actually received ranged from $35.70 to $36.70. 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.
- F3The price in Column 4 is a weighted average sale price. The prices actually received ranged from $36.75 to $37.75. 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 price in Column 4 is a weighted average sale price. The prices actually received ranged from $37.80 to $38.80. 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 $38.85 to $39.75. 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 $40.00 to $40.65. 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.
- F71/48th of the shares subject to the stock option vest and become exercisable each month following January 16, 2015.
- F81/48th of the shares subject to the stock option vest and become exercisable each month following December 17, 2015.
- F91/48th of the shares subject to the stock option vest and become exercisable each month following October 15, 2014.