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