SEC Form 3
FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number: 3235-0104
Estimated average burden
hours per response: 0.5
1. Name and Address of Reporting Person*
Henrich Jill

(Last) (First) (Middle)
C/O ATARA BIOTHERAPEUTICS, INC.
2380 CONEJO SPECTRUM STREET, SUITE 200

(Street)
THOUSAND OAKS CA 91320

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
06/01/2023
3. Issuer Name and Ticker or Trading Symbol
Atara Biotherapeutics, Inc. [ ATRA ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
EVP, Global Head RA & Quality
5. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
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 111,037(1)(2) D
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4) 2. Date Exercisable and Expiration Date (Month/Day/Year) 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) 4. Conversion or Exercise Price of Derivative Security 5. Ownership Form: 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) 05/08/2023 09/07/2030 Common Stock 40,000 13.46 D
Employee Stock Option (Right to Buy) (3) 09/07/2030 Common Stock 20,000 13.46 D
Employee Stock Option (Right to Buy) 06/01/2023 02/28/2031 Common Stock 19,416 17.105 D
Employee Stock Option (Right to Buy) (4) 02/28/2031 Common Stock 15,103 17.105 D
Employee Stock Option (Right to Buy) 06/01/2023 02/29/2032 Common Stock 16,601 10.21 D
Employee Stock Option (Right to Buy) (5) 02/29/2032 Common Stock 36,525 10.21 D
Employee Stock Option (Right to Buy) 06/01/2023 02/28/2033 Common Stock 7,869 3.91 D
Employee Stock Option (Right to Buy) (5) 02/28/2033 Common Stock 86,564 3.91 D
Explanation of Responses:
1. Includes an aggregate 79,169 restricted stock units ("RSUs"), which are comprised of: (i) 11,256 RSUs that vest as to 1/6th of shares on August 15, 2023, and each of the next five (5) Quarterly Vesting Dates (as defined herein); (ii) 10,008 RSUs that vest as to 1/7th of shares on August 15, 2023 and each of the next six (6) Quarterly Vesting Dates; (iii) 19,432 RSUs that vest as to 1/11th of shares on August 15, 2023 and each of the next ten (10) Quarterly Vesting Dates; and (iv) 38,473 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. 1/16th of shares subject to the stock option vest and become exercisable on June 8, 2023, and the remaining shares vest in equal monthly installments over the following fifteen (15) months, subject to the reporting person's continuous service.
4. 1/21st 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 twenty (20) months, subject to the reporting person's continuous service.
5. 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
/s/ Jeff Kiekhofer, Attorney-in-Fact for Jill Henrich 06/09/2023
** 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 Number.