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