0001209191-17-049452.txt : 20170817
0001209191-17-049452.hdr.sgml : 20170817
20170817173854
ACCESSION NUMBER: 0001209191-17-049452
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20170815
FILED AS OF DATE: 20170817
DATE AS OF CHANGE: 20170817
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Gallagher Carol Giltner
CENTRAL INDEX KEY: 0001329959
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36548
FILM NUMBER: 171039497
MAIL ADDRESS:
STREET 1: C/O ATARA BIOTHERAPEUTICS, INC.
STREET 2: 3260 BAYSHORE BOULEVARD
CITY: BRISBANE
STATE: CA
ZIP: 94005
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Atara Biotherapeutics, Inc.
CENTRAL INDEX KEY: 0001604464
STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836]
IRS NUMBER: 460920988
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 611 GATEWAY BLVD
STREET 2: SUITE 900
CITY: SOUTH SAN FRANCISCO
STATE: CA
ZIP: 94080
BUSINESS PHONE: 650-278-8930
MAIL ADDRESS:
STREET 1: 611 GATEWAY BLVD
STREET 2: SUITE 900
CITY: SOUTH SAN FRANCISCO
STATE: CA
ZIP: 94080
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2017-08-15
0
0001604464
Atara Biotherapeutics, Inc.
ATRA
0001329959
Gallagher Carol Giltner
C/O ATARA BIOTHERAPEUTICS, INC.
611 GATEWAY BOULEVARD, SUITE 900
SOUTH SAN FRANCISCO
CA
94080
1
0
0
0
Common Stock
2017-08-15
4
M
0
1548
0.00
A
108922
D
Common Stock
2017-08-15
4
M
0
818
0.00
A
109740
D
Common Stock
2017-08-16
4
S
0
1184
14.30
D
108556
D
Restricted Stock Units
2017-08-15
4
M
0
1548
0.00
D
Common Stock
1548
3097
D
Restricted Stock Units
2017-08-15
4
M
0
818
0.00
D
Common Stock
818
2179
D
Shares issued upon settlement of vested restricted stock units.
Transaction pursuant to Rule 10b5-1 Plan adopted October 14, 2016.
Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock or a cash settlement.
The restricted stock units ("RSUs") were granted with both (a) a liquidity event-based vesting condition and (b) a service-based vesting condition, both of which conditions must be satisfied in order for the RSUs to vest. The liquidity event-based condition was satisfied upon the closing of the Issuer's initial public offering (the "IPO"). The shares that vested on the closing date of the IPO, and the shares that vested thereafter through August 17, 2015, were settled on August 17, 2015. The service-based vesting condition provides that 1/48th of the total number of shares vest monthly from January 30, 2014, subject to the holder's continuous service through each such date.
The earlier of (i) January 30, 2021 or (ii) the second anniversary of termination date.
The restricted stock units ("RSUs") were granted with both (a) a liquidity event-based vesting condition and (b) a service-based vesting condition, both of which conditions must be satisfied in order for the RSUs to vest. The liquidity event-based condition was satisfied upon the closing of the Issuer's initial public offering (the "IPO"). The shares that vested on the closing date of the IPO, and the shares that vested thereafter through August 17, 2015, were settled on August 17, 2015. The service-based vesting condition provides that 1/48th of the total number of shares vest monthly from March 25, 2014, subject to the holder's continuous service through each such date.
The earlier of (i) March 27, 2021 or (ii) the recipient's termination date.
/s/ Tina Gullotta, Attorney-in-Fact for Carol G. Gallagher
2017-08-17