SEC Form 4 · accession 0001209191-18-053131
Atara Biotherapeutics, Inc. · ATRA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Joe Newell
Officer — Chief Tech. Operations Officer
Period of report
Oct 1, 2018
Accepted (ET)
Oct 2, 2018 · 4:25 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 | Oct 1, 2018 | M | 1,500 | $20.40 | A | 33,358 | D | |
| Common StockF2 | Oct 1, 2018 | S | 1,100 | $41.02 | D | 32,258 | D | |
| Common StockF3 | Oct 1, 2018 | S | 400 | $41.99 | D | 31,858 | 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 | $20.40 | Oct 1, 2018 | M | 1,500 | D | — | Apr 3, 2024 | Common Stock | 1,500 | 75,500 | D |
Explanation of responses
- F1Transaction pursuant to Rule 10b5-1 Plan adopted May 29, 2018.
- F2The price in Column 4 is a weighted average sale price. The prices actually received ranged from $40.53 to $41.36. 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 $41.75 to $42.21. 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.
- F425% of the shares shall vest one year from April 3, 2017, and the remaining shares shall vest in 36 equal monthly installment thereafter, subject to the reporting person's continuous service.