SEC Form 4 · accession 0001209191-18-030722
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
May 15, 2018
Accepted (ET)
May 16, 2018 · 8:37 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 | May 15, 2018 | M | 25,000 | $11.00 | A | 357,905 | D | |
| Common StockF2 | May 15, 2018 | S | 6,885 | $44.44 | D | 351,020 | D | |
| Common StockF3 | May 15, 2018 | S | 9,638 | $45.21 | D | 341,382 | D | |
| Common StockF4 | May 15, 2018 | S | 9,252 | $46.02 | D | 332,130 | D | |
| Common StockF5 | holding | — | — | — | 17,312 | I | See footnote | |
| Common StockF6 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (Right to Buy)F7 | $11.00 | May 15, 2018 | M | 25,000 | D | — | Oct 15, 2021 | Common Stock | 25,000 | 25,000 | 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 $43.75 to $44.75. 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.
- F3The price in Column 4 is a weighted average sale price. The prices actually received ranged from $44.80 to $45.80. 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.
- F4The price in Column 4 is a weighted average sale price. The prices actually received ranged from $45.85 to $46.30. 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 shares are held by the Chris Haqq 2014 GRAT, of which the Reporting Person is trustee.
- F6The shares are held by The Havenside Trust, of which the Reporting Person is trustee.
- F71/48th of the shares subject to the stock option vest and become exercisable each month following October 15, 2014.