Sec Form 4 Filing - Gallagher Carol Giltner @ Atara Biotherapeutics, Inc. - 2017-11-15

Insider filing report for Changes in Beneficial Ownership
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FORM 4
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
Gallagher Carol Giltner
2. Issuer Name and Ticker or Trading Symbol
Atara Biotherapeutics, Inc. [ ATRA]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X __ Director _____ 10% Owner
_____ Officer (give title below) _____ Other (specify below)
(Last) (First) (Middle)
C/O ATARA BIOTHERAPEUTICS, INC., 611 GATEWAY BOULEVARD, SUITE 900
3. Date of Earliest Transaction (MM/DD/YY)
11/15/2017
(Street)
SOUTH SAN FRANCISCO, CA94080
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
__ X __ Form filed by One Reporting Person
_____ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 3. Transaction Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4)
7. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 11/15/2017 M 1,549 A $ 0 ( 1 ) 110,105 D
Common Stock 11/15/2017 M 817 A $ 0 ( 1 ) 110,922 D
Common Stock 11/16/2017 S( 2 ) 1,184 D $ 14.2 109,738 D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 4. Transaction Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4, and 5)
6. Date Exercisable and Expiration Date
(MM/DD/YY)
7. Title and Amount of Underlying Securities
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 4)
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 4)
11. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Restricted Stock Units ( 3 ) 11/15/2017 M 1,549 ( 4 ) ( 5 ) Common Stock 1,549 $ 0 1,548 D
Restricted Stock Units ( 3 ) 11/15/2017 M 817 ( 6 ) ( 7 ) Common Stock 817 $ 0 1,362 D
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
Gallagher Carol Giltner
C/O ATARA BIOTHERAPEUTICS, INC.
611 GATEWAY BOULEVARD, SUITE 900
SOUTH SAN FRANCISCO, CA94080
X
Signatures
/s/ Tina Gullotta, Attorney-in-Fact for Carol G. Gallagher 11/17/2017
Signature of Reporting Person Date
Explanation of Responses:
( 1 )Shares issued upon settlement of vested restricted stock units.
( 2 )Transaction pursuant to Rule 10b5-1 Plan adopted October 14, 2016.
( 3 )Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock or a cash settlement.
( 4 )The restricted stock units ("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 August 17, 2015, were settled on August 17, 2015. The service-based vesting condition provides that 1/48th of the total number of shares vest monthly from January 30, 2014, subject to the holder's continuous service through each such date.
( 5 )The earlier of (i) January 30, 2021 or (ii) the second anniversary of termination date.
( 6 )The restricted stock units ("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 August 17, 2015, were settled on August 17, 2015. The service-based vesting condition provides that 1/48th of the total number of shares vest monthly from March 25, 2014, subject to the holder's continuous service through each such date.
( 7 )The earlier of (i) March 27, 2021 or (ii) the recipient's termination date.

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* If the form is filed by more than one reporting person, see Instruction 4(b)(v).
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