AnhCo Nguyen - 01 Jun 2023 Form 3 Insider Report for Atara Biotherapeutics, Inc. (ATRA)

Role
EVP, Chief Sci. & Tech Officer
Signature
/s/ Jeff Kiekhofer, Attorney-in-Fact for AnhCo Nguyen
Issuer symbol
ATRA
Transactions as of
01 Jun 2023
Net transactions value
$0
Form type
3
Filing time
09 Jun 2023, 16:30:46 UTC
Next filing
18 Aug 2023
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
holding ATRA Common Stock 301,125 01 Jun 2023 Direct F1, F2

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
holding ATRA Employee Stock Option (Right to Buy) 01 Jun 2023 Common Stock 87,124 $13.24 Direct
holding ATRA Employee Stock Option (Right to Buy) 01 Jun 2023 Common Stock 87,125 $13.24 Direct F3
holding ATRA Employee Stock Option (Right to Buy) 01 Jun 2023 Common Stock 35,048 $10.21 Direct
holding ATRA Employee Stock Option (Right to Buy) 01 Jun 2023 Common Stock 77,108 $10.21 Direct F4
holding ATRA Employee Stock Option (Right to Buy) 01 Jun 2023 Common Stock 28,907 $3.91 Direct
holding ATRA Employee Stock Option (Right to Buy) 01 Jun 2023 Common Stock 317,988 $3.91 Direct F4
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Includes an aggregate 270,072 restricted stock units ("RSUs"), which are comprised of: (i) 57,724 RSUs that vest as to 1/8th of shares on August 15, 2023 and each of the next seven (7) Quarterly Vesting Dates (as defined herein); (ii) 41,020 RSUs that vest as to 1/11th of shares on August 15, 2023 and each of the next ten (10) Quarterly Vesting Dates; (iii) 30,000 RSUs that vest as to 1/2nd of shares on August 15, 2023 and 1/2nd on August 15, 2024; and (iv) 141,328 RSUs that vest as to 1/11th of shares on August 15, 2023 and each of the next ten (10) Quarterly Vesting Dates, each of which is subject to the reporting person's continuous service.
F2 "Quarterly Vesting Date" means March 1, May 15, August 15, and November 15 of each year, provided that if such date falls on a weekend or holiday, the "Quarterly Vesting Date" shall be the first (1st) business day after such date.
F3 1/24th of shares subject to the stock option vest and become exercisable on June 10, 2023, and the remaining shares vest in equal monthly installments over the following twenty-three (23) months, subject to the reporting person's continuous service.
F4 1/33rd of shares subject to the stock option vest and become exercisable on July 1, 2023, and the remaining shares vest in equal monthly installments over the following thirty-two (32) months, subject to the reporting person's continuous service.

Remarks:

Exhibit 24 - Power of Attorney