0001209191-23-050695.txt : 20230927 0001209191-23-050695.hdr.sgml : 20230927 20230927192050 ACCESSION NUMBER: 0001209191-23-050695 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20230917 FILED AS OF DATE: 20230927 DATE AS OF CHANGE: 20230927 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Ruiz Roger Richard CENTRAL INDEX KEY: 0001993970 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38935 FILM NUMBER: 231285826 MAIL ADDRESS: STREET 1: C/O ATRECA, INC. STREET 2: 835 INDUSTRIAL ROAD, SUITE 400 CITY: SAN CARLOS STATE: CA ZIP: 94070 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Atreca, Inc. CENTRAL INDEX KEY: 0001532346 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 273723255 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 835 INDUSTRIAL ROAD, STREET 2: SUITE 400 CITY: SAN CARLOS STATE: CA ZIP: 94070 BUSINESS PHONE: 650-595-2595 MAIL ADDRESS: STREET 1: 835 INDUSTRIAL ROAD, STREET 2: SUITE 400 CITY: SAN CARLOS STATE: CA ZIP: 94070 3 1 doc3.xml FORM 3 SUBMISSION X0206 3 2023-09-17 0 0001532346 Atreca, Inc. BCEL 0001993970 Ruiz Roger Richard C/O ATRECA, INC. 835 INDUSTRIAL ROAD, SUITE 400 SAN CARLOS CA 94070 0 1 0 0 VP of Finance Class A Common Stock 34980 D Employee stock option (right to buy) 3.18 2031-12-22 Class A Common Stock 25000 D Employee stock option (right to buy) 1.845 2031-01-26 Class A Common Stock 28250 D Employee stock option (right to buy) 1.49 2033-02-08 Class A Common Stock 50000 D Employee stock option (right to buy) 1.845 2028-10-29 Class A Common Stock 41666 D Employee stock option (right to buy) 1.845 2029-01-30 Class A Common Stock 8333 D Employee stock option (right to buy) 1.845 2030-02-25 Class A Common Stock 27000 D Consists of 26,647 shares of Class A Common Stock and 8,333 restricted stock units pertaining to a restricted stock unit award granted on February 9, 2023, vesting in three equal annual installments beginning on August 1, 2023, subject to the Reporting Person providing continuous service to the Issuer as of each such date. Each restricted stock unit represents a right to receive one share of Class A Common Stock upon vesting. 1/48 of the Option vests in equal monthly installments as measured from December 1, 2021, subject to the Reporting Person providing continuous service to the Issuer as of each such date. If applicable, vesting accelerates as provided in, and subject to the terms and conditions of, that certain Executive Employment Agreement between the Issuer and the Reporting Person, as may be amended from time to time. 1/48 of the Option vests in equal monthly installments as measured from January 1, 2021, subject to the Reporting Person providing continuous service to the Issuer as of each such date. If applicable, vesting accelerates as provided in, and subject to the terms and conditions of, that certain Executive Employment Agreement between the Issuer and the Reporting Person, as may be amended from time to time. The Board of Directors of the Issuer approved a repricing of this Option, effective June 13, 2022. 1/48 of the Option vests in equal monthly installments as measured from January 1, 2023, subject to the Reporting Person providing continuous service to the Issuer as of each such date. If applicable, vesting accelerates as provided in, and subject to the terms and conditions of, that certain Executive Employment Agreement between the Issuer and the Reporting Person, as may be amended from time to time. Fully vested. 1/48 of the Option vests in equal monthly installments as measured from January 1, 2020, subject to the Reporting Person providing continuous service to the Issuer as of each such date. If applicable, vesting accelerates as provided in, and subject to the terms and conditions of, that certain Executive Employment Agreement between the Issuer and the Reporting Person, as may be amended from time to time. /s/ Roger Richard Ruiz 2023-09-27 EX-24 2 poa.txt POA DOCUMENT POWER OF ATTORNEY Know all by these presents, that the undersigned hereby constitutes and appoints each of John A. Orwin, Courtney Phillips, Danielle Naftulin and John T. McKenna, signing individually, the undersigned's true and lawful attorneys-in fact and agents to: (1) execute for and on behalf of the undersigned, in the undersigned's capacity as an officer, director or beneficial owner of more than 10% of a registered class of securities of Atreca, Inc. (the "Company"), Forms 3, 4 and 5 (including any amendments thereto) in accordance with Section 16(a) of the Securities Exchange Act of 1934, as amended (the "Exchange Act") and the rules thereunder and a Form ID, Uniform Application for Access Codes to File on EDGAR; (2) do and perform any and all acts for and on behalf of the undersigned that may be necessary or desirable to execute such Forms 3, 4 or 5 or Form ID (including any amendments thereto) and timely file such forms with the United States Securities and Exchange Commission and any stock exchange or similar authority; and (3) take any other action of any nature whatsoever in connection with the foregoing which, in the opinion of such attorney-in-fact, may be of benefit, in the best interest of, or legally required by, the undersigned, it being understood that the documents executed by such attorney-in-fact on behalf of the undersigned pursuant to this Power of Attorney shall be in such form and shall contain such terms and conditions as such attorney-in-fact may approve in such attorney-in-fact's discretion. The undersigned hereby grants to each such attorney-in-fact full power and authority to do and perform any and every act and thing whatsoever requisite, necessary or proper to be done in the exercise of any of the rights and powers herein granted, as fully to all intents and purposes as the undersigned might or could do if personally present, with full power of substitution or revocation, hereby ratifying and confirming all that such attorney-in-fact, or such attorney-in-fact's substitute or substitutes, shall lawfully do or cause to be done by virtue of this power of attorney and the rights and powers herein granted. The undersigned acknowledges that the foregoing attorneys-in-fact, in serving in such capacity at the request of the undersigned, are not assuming, nor is the Company assuming, any of the undersigned's responsibilities to comply with Section 16 of the Exchange Act. This Power of Attorney shall remain in full force and effect until the earliest to occur of (a) the undersigned is no longer required to file Forms 3, 4 and 5 with respect to the undersigned's holdings of and transactions in securities issued by the Company, (b) revocation by the undersigned in a signed writing delivered to the foregoing attorneys-in-fact or (c) as to any attorney-in-fact individually, until such attorney-in-fact is no longer employed by the Company or Cooley LLP. IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to be executed as of September 27, 2023. /s/ Roger Richard Ruiz