0001209191-17-049451.txt : 20170817 0001209191-17-049451.hdr.sgml : 20170817 20170817173757 ACCESSION NUMBER: 0001209191-17-049451 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: Soffer Gad CENTRAL INDEX KEY: 0001612090 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36548 FILM NUMBER: 171039491 MAIL ADDRESS: STREET 1: C/O ATARA BIOTHERAPEUTICS, INC. STREET 2: 3260 BAYSHORE BOULEVARD CITY: BRISBANE STATE: CA ZIP: 94005 FORMER NAME: FORMER CONFORMED NAME: Sofer Gad DATE OF NAME CHANGE: 20140627 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 0001612090 Soffer Gad 611 GATEWAY BOULEVARD SUITE 900 SOUTH SAN FRANCISCO CA 94080 0 1 0 0 EVP & Chief Strategy Officer Common Stock 2017-08-15 4 S 0 7000 15.00 D 257409 D Common Stock 2017-08-15 4 M 0 4145 0.00 A 261554 D Common Stock 2017-08-16 4 S 0 2464 14.53 D 259090 D Restricted Stock Units 2017-08-15 4 M 0 4145 0.00 D Common Stock 4145 6910 D Transaction pursuant to Rule 10b5-1 Plan adopted September 26, 2016. Shares issued upon settlement of vested restricted stock units ("RSUs"). Shares sold to cover tax liability from settlement of RSUs. The price in Column 4 is a weighted average sale price. The prices actually received ranged from $14.30 to $14.85. 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. 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 Gad Soffer 2017-08-17