4//SEC Filing
Atara Biotherapeutics, Inc. 4
Accession 0001209191-17-033208
$ATRACIK 0001604464operating
Filed
May 16, 8:00 PM ET
Accepted
May 17, 5:01 PM ET
Size
17.1 KB
Accession
0001209191-17-033208
Insider Transaction Report
Form 4
MCGRATH JOHN
Chief Financial Officer
Transactions
- Sale
Common Stock
2017-05-16$15.27/sh−2,000$30,540→ 117,460 total - Exercise/Conversion
Common Stock
2017-05-15+935→ 113,762 total - Exercise/Conversion
Restricted Stock Units
2017-05-15−935→ 0 total(indirect: See Footnote)→ Common Stock (935 underlying) - Exercise/Conversion
Restricted Stock Units
2017-05-15−7,698→ 20,526 total(indirect: See Footnote)→ Common Stock (7,698 underlying) - Sale
Common Stock
2017-05-15$14.95/sh−2,000$29,900→ 119,460 total - Exercise/Conversion
Common Stock
2017-05-15+7,698→ 121,460 total
Footnotes (10)
- [F1]Shares issued upon settlement of vested restricted stock units ("RSUs").
- [F10]The earlier of (i) December 12, 2020 or (ii) the recipient's termination date.
- [F2]Transaction pursuant to Rule 10b5-1 Plan adopted July 6, 2016.
- [F3]The price in Column 4 is a weighted average sale price. The prices actually received ranged from $14.70 to $15.25. 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.
- [F4]The price in Column 4 is a weighted average sale price. The prices actually received ranged from $15.20 to $15.30. 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.
- [F5]Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock or a cash settlement.
- [F6]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 25% of the total number of shares on March 13, 2014 and 1/48th of the total number of shares monthly thereafter, subject to the holder's continuous service through each such date.
- [F7]The earlier of (i) March 13, 2020 or (ii) the recepient's termination date.
- [F8]The shares are held by the David B. Horowitz and John McGrath Jr. Revocable Living Trust dated 6/3/11, of which the Reporting Person is trustee.
- [F9]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 25% of the total number of shares on January 6, 2015 and 1/48th of the total number of shares monthly thereafter, subject to the holder's continuous service through each such date.
Documents
Issuer
Atara Biotherapeutics, Inc.
CIK 0001604464
Entity typeoperating
IncorporatedDE
Related Parties
1- filerCIK 0001604464
Filing Metadata
- Form type
- 4
- Filed
- May 16, 8:00 PM ET
- Accepted
- May 17, 5:01 PM ET
- Size
- 17.1 KB