SEC Form 4 · accession 0001209191-19-008526
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
Feb 6, 2019
Accepted (ET)
Feb 8, 2019 · 4:28 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 StockF2 | Feb 6, 2019 | S | 2,677 | $38.04 | D | 282,903 | D | |
| Common StockF3 | Feb 6, 2019 | S | 9,698 | $38.78 | D | 273,205 | D | |
| Common Stock | Feb 6, 2019 | F | 1,512 | $38.47 | D | 271,693 | D | |
| Common StockF5 | Feb 6, 2019 | A | 15,000 | $0.00 | A | 286,693 | D | |
| Common StockF6 | holding | — | — | — | 17,312 | I | See footnote | |
| Common StockF7 | 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)F8 | $38.47 | Feb 6, 2019 | A | 30,000 | A | — | Feb 5, 2029 | Common Stock | 30,000 | 30,000 | 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 $37.61 to $38.54. 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 $38.67 to $38.89. 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.
- F4Shares withheld to cover tax obligation from settlement of vested restricted stock units.
- F5These restricted stock units vest in four equal annual installments on each of the first, second, third and fourth anniversaries of the grant date, subject to the reporting person's continuous service.
- F6The shares are held by the Chris Haqq 2014 GRAT, of which the Reporting Person is trustee.
- F7The shares are held by The Havenside Trust, of which the Reporting Person is trustee.
- F81/48th of the shares subject to the stock option vest and become exercisable each month following February 6, 2019, subject to the reporting person's continuous service.