0001209191-17-049448.txt : 20170817
0001209191-17-049448.hdr.sgml : 20170817
20170817173549
ACCESSION NUMBER: 0001209191-17-049448
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: Haqq Christopher
CENTRAL INDEX KEY: 0001612095
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36548
FILM NUMBER: 171039481
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
0001612095
Haqq Christopher
611 GATEWAY BOULEVARD
SUITE 900
SOUTH SAN FRANCISCO
CA
94080
0
1
0
0
EVP, R&D & Chief Scientific Of
Common Stock
2017-08-15
4
M
0
829
0.00
A
362909
D
Common Stock
2017-08-15
4
S
0
7604
14.75
D
355305
D
Common Stock
17312
I
See footnote
Common Stock
2688
I
See footnote
Restricted Stock Units
2017-08-15
4
M
0
829
0.00
D
Common Stock
829
1382
D
Shares issued upon settlement of vested restricted stock units ("RSUs").
Transaction pursuant to Rule 10b5-1 Plan adopted September 27, 2016.
The shares are held by the Chris Haqq 2014 GRAT, of which the Reporting Person is trustee.
The shares are held by The Havenside Trust, of which the Reporting Person is trustee.
Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock or a cash settlement.
The 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 May 15, 2015, were settled on May 15, 2015. The service-based vesting condition provides that 1/48th of the total number of shares shall vest monthly from January 10, 2014, subject to the holder's continuous service through each such date.
The earlier of (i) January 10, 2021 or (ii) the recipient's termination date.
/s/ Tina Gullotta, Attorney-in-Fact for Christopher Haqq
2017-08-17