Initial Statement of Beneficial Ownership (3)
June 09 2023 - 4:31PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
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Nguyen AnhCo |
2. Date of Event Requiring Statement (MM/DD/YYYY)
6/1/2023
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3. Issuer Name and Ticker or Trading Symbol
Atara Biotherapeutics, Inc. [ATRA]
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(Last)
(First)
(Middle)
C/O ATARA BIOTHERAPEUTICS, INC., 2380 CONEJO SPECTRUM STREET, SUITE 200 |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner ___X___ Officer (give title below) _____ Other (specify below) EVP, Chief Sci. & Tech Officer / |
(Street)
THOUSAND OAKS, CA 91320
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 6. Individual or Joint/Group Filing(Check Applicable Line)
_X_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 301125 (1)(2) | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 4) | 2. Date Exercisable and Expiration Date (MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Employee Stock Option (Right to Buy) | 5/10/2023 | 5/9/2031 | Common Stock | 87124 | $13.24 | D | |
Employee Stock Option (Right to Buy) | (3) | 5/9/2031 | Common Stock | 87125 | $13.24 | D | |
Employee Stock Option (Right to Buy) | 6/1/2023 | 2/29/2032 | Common Stock | 35048 | $10.21 | D | |
Employee Stock Option (Right to Buy) | (4) | 2/29/2032 | Common Stock | 77108 | $10.21 | D | |
Employee Stock Option (Right to Buy) | 6/1/2023 | 2/28/2033 | Common Stock | 28907 | $3.91 | D | |
Employee Stock Option (Right to Buy) | (4) | 2/28/2033 | Common Stock | 317988 | $3.91 | D | |
Explanation of Responses: |
(1) | 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. |
(2) | "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. |
(3) | 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. |
(4) | 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 |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Nguyen AnhCo C/O ATARA BIOTHERAPEUTICS, INC. 2380 CONEJO SPECTRUM STREET, SUITE 200 THOUSAND OAKS, CA 91320 |
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| EVP, Chief Sci. & Tech Officer |
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Signatures
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/s/ Jeff Kiekhofer, Attorney-in-Fact for AnhCo Nguyen | | 6/9/2023 |
**Signature of Reporting Person | Date |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. |
* | If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
Note: | File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. |
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
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