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Nasdaq · USD

ATRA

Atara Biotherapeutics, Inc.

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6828
SEC CIK
0001604464
Parsed reports
491

Last 12 months

Inside the activity.

2 purchase rows · 18 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202505
Dec 202500
Jan 202601
Feb 202600
Mar 202608
Apr 202600
May 202613
Jun 202600
Jul 202600
Aug 202601
Sep 202610
Oct 202600

Latest available

Insider transactions

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
September 15, 2017 Filed Sep 18, 2017 21:46 UTC
Haqq ChristopherEVP, R&D & Chief Scientific Of
SaleCommon Stock 6,000 $15.30 $91,800.00
Disclosure

SEC source: 0001209191-17-053206 · doc4.xml · nonDerivative · entry 1

Haqq Christopher · CIK 0001612095 · EVP, R&D & Chief Scientific Of

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 349,305

F1 · kind: Transaction pursuant to Rule 10b5-1 Plan adopted September 27, 2016.

Read SEC document
September 07, 2017 Filed Sep 8, 2017 16:02 UTC
Ciechanover Isaac E.Director · Chief Executive Officer
SaleCommon Stock 2,200 $14.98 $32,956.00
Disclosure

SEC source: 0001209191-17-052034 · doc4.xml · nonDerivative · entry 2

Ciechanover Isaac E. · CIK 0001612096 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 437,378

F1 · kind: Transaction pursuant to Rule 10b5-1 Plan adopted May 18, 2017.

F4 · price: The price in Column 4 is a weighted average sale price. The prices actually received ranged from $14.75 to $15.10. 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.

F3 · ownership.nature: Shares are held by the Isaac E. Ciechanover and Allison M. Ciechanover Family Trust dated 8/8/08, of which the Reporting Person is a trustee.

Read SEC document
September 06, 2017 Filed Sep 8, 2017 16:02 UTC
Ciechanover Isaac E.Director · Chief Executive Officer
SaleCommon Stock 2,200 $15.05 $33,110.00
Disclosure

SEC source: 0001209191-17-052034 · doc4.xml · nonDerivative · entry 1

Ciechanover Isaac E. · CIK 0001612096 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 439,578

F1 · kind: Transaction pursuant to Rule 10b5-1 Plan adopted May 18, 2017.

F2 · price: The price in Column 4 is a weighted average sale price. The prices actually received ranged from $14.85 to $15.20. 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.

F3 · ownership.nature: Shares are held by the Isaac E. Ciechanover and Allison M. Ciechanover Family Trust dated 8/8/08, of which the Reporting Person is a trustee.

Read SEC document
August 23, 2017 Filed Aug 24, 2017 17:10 UTC
Ciechanover Isaac E.Director · Chief Executive Officer
SaleCommon Stock 2,200 $13.51 $29,722.00
Disclosure

SEC source: 0001209191-17-050166 · doc4.xml · nonDerivative · entry 2

Ciechanover Isaac E. · CIK 0001612096 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 441,778

F1 · kind: Transaction pursuant to Rule 10b5-1 Plan adopted May 18, 2017.

F4 · price: The price in Column 4 is a weighted average sale price. The prices actually received ranged from $13.40 to $13.55. 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.

F3 · ownership.nature: Shares are held by the Isaac E. Ciechanover and Allison M. Ciechanover Family Trust dated 8/8/08, of which the Reporting Person is a trustee.

Read SEC document
August 22, 2017 Filed Aug 24, 2017 17:10 UTC
Ciechanover Isaac E.Director · Chief Executive Officer
SaleCommon Stock 2,200 $13.56 $29,832.00
Disclosure

SEC source: 0001209191-17-050166 · doc4.xml · nonDerivative · entry 1

Ciechanover Isaac E. · CIK 0001612096 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 443,978

F1 · kind: Transaction pursuant to Rule 10b5-1 Plan adopted May 18, 2017.

F2 · price: The price in Column 4 is a weighted average sale price. The prices actually received ranged from $13.40 to $13.85. 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.

F3 · ownership.nature: Shares are held by the Isaac E. Ciechanover and Allison M. Ciechanover Family Trust dated 8/8/08, of which the Reporting Person is a trustee.

Read SEC document
August 16, 2017 Filed Aug 17, 2017 17:34 UTC
Clark Mitchall G.EVP & Chief R & QA Officer
SaleCommon Stock 3,021 $14.33 $43,290.93
Disclosure

SEC source: 0001209191-17-049447 · doc4.xml · nonDerivative · entry 2

Clark Mitchall G. · CIK 0001612094 · EVP & Chief R & QA Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 159,130

F3 · kind: Shares sold to cover tax obligation from settlement of vested restricted stock units.

F4 · kind: Transaction pursuant to Rule 10b5-1 Plan adopted October 12, 2016.

Read SEC document
August 16, 2017 Filed Aug 17, 2017 17:37 UTC
Soffer GadEVP & Chief Strategy Officer
SaleCommon Stock 2,464 $14.53 $35,801.92
Disclosure

SEC source: 0001209191-17-049451 · doc4.xml · nonDerivative · entry 3

Soffer Gad · CIK 0001612090 · EVP & Chief Strategy Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 259,090

F3 · kind: Shares sold to cover tax liability from settlement of RSUs.

F4 · price: The price in Column 4 is a weighted average sale price. The prices actually received ranged from $14.30 to $14.85. 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.

Read SEC document
August 16, 2017 Filed Aug 17, 2017 17:36 UTC
MCGRATH JOHNEVP & Chief Financial Officer
SaleCommon Stock 2,100 $14.39 $30,219.00
Disclosure

SEC source: 0001209191-17-049449 · doc4.xml · nonDerivative · entry 3

MCGRATH JOHN · CIK 0001205442 · EVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 120,957

F2 · kind: Transaction pursuant to Rule 10b5-1 Plan adopted July 6, 2016.

F4 · price: The price in Column 4 is a weighted average sale price. The prices actually received ranged from $14.05 to $14.60. 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.

Read SEC document
August 16, 2017 Filed Aug 17, 2017 21:38 UTC SaleCommon Stock 1,184 $14.30 $16,931.20
Disclosure

SEC source: 0001209191-17-049452 · doc4.xml · nonDerivative · entry 3

Gallagher Carol Giltner · CIK 0001329959 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 108,556

F2 · kind: Transaction pursuant to Rule 10b5-1 Plan adopted October 14, 2016.

Read SEC document
August 15, 2017 Filed Aug 17, 2017 17:34 UTC
Ciechanover Isaac E.Director · Chief Executive Officer
Exercise / conversionRestricted Stock Units · Derivative 5,908 $0.00 $0.00
Disclosure

SEC source: 0001209191-17-049446 · doc4.xml · derivative · entry 3

Ciechanover Isaac E. · CIK 0001612096 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,846

Underlying: Common Stock · 5,908 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock or a cash settlement.

F4 · derivative.exercise_date: 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 1/48th of the total number of shares shall vest monthly from January 10, 2014, subject to the holder's continuous service through each such date.

F5 · derivative.expiration_date: The earlier of (i) January 10, 2021 or (ii) the recipient's termination date.

Read SEC document
August 15, 2017 Filed Aug 17, 2017 17:34 UTC
Ciechanover Isaac E.Director · Chief Executive Officer
Exercise / conversionCommon Stock 5,908 $0.00 $0.00
Disclosure

SEC source: 0001209191-17-049446 · doc4.xml · nonDerivative · entry 1

Ciechanover Isaac E. · CIK 0001612096 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 737,767

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Shares issued upon settlement of vested restricted stock units ("RSUs").

Read SEC document
August 15, 2017 Filed Aug 17, 2017 17:34 UTC
Clark Mitchall G.EVP & Chief R & QA Officer
Exercise / conversionRestricted Stock Unites · Derivative 7,211 $0.00 $0.00
Disclosure

SEC source: 0001209191-17-049447 · doc4.xml · derivative · entry 3

Clark Mitchall G. · CIK 0001612094 · EVP & Chief R & QA Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,231

Underlying: Common Stock · 7,211 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F5 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock or a cash settlement.

F6 · derivative.exercise_date: 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 17, 2015 and 1/48th of the total number of shares monthly thereafter, subject to the holder's continuous service through each such date.

F7 · derivative.expiration_date: The earlier of (i) March 27, 2021 or (ii) the recepient's termination date.

Read SEC document
August 15, 2017 Filed Aug 17, 2017 17:34 UTC
Clark Mitchall G.EVP & Chief R & QA Officer
Exercise / conversionCommon Stock 7,211 $0.00 $0.00
Disclosure

SEC source: 0001209191-17-049447 · doc4.xml · nonDerivative · entry 1

Clark Mitchall G. · CIK 0001612094 · EVP & Chief R & QA Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 162,151

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Shares issued upon settlement of vested restricted stock units ("RSUs").

F2 · balance_after: Includes 1,940 shares issued on May 31, 2017 pursuant to the Issuer's Employee Stock Purchase Plan.

Read SEC document
August 15, 2017 Filed Aug 17, 2017 17:37 UTC
Soffer GadEVP & Chief Strategy Officer
Exercise / conversionRestricted Stock Units · Derivative 4,145 $0.00 $0.00
Disclosure

SEC source: 0001209191-17-049451 · doc4.xml · derivative · entry 4

Soffer Gad · CIK 0001612090 · EVP & Chief Strategy Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,910

Underlying: Common Stock · 4,145 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F5 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock or a cash settlement.

F6 · derivative.exercise_date: 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 1/48th of the total number of shares shall vest monthly from January 10, 2014, subject to the holder's continuous service through each such date.

F7 · derivative.expiration_date: The earlier of (i) January 10, 2021 or (ii) the recipient's termination date.

Read SEC document
August 15, 2017 Filed Aug 17, 2017 17:37 UTC
Soffer GadEVP & Chief Strategy Officer
Exercise / conversionCommon Stock 4,145 $0.00 $0.00
Disclosure

SEC source: 0001209191-17-049451 · doc4.xml · nonDerivative · entry 2

Soffer Gad · CIK 0001612090 · EVP & Chief Strategy Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 261,554

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · price: Shares issued upon settlement of vested restricted stock units ("RSUs").

Read SEC document
August 15, 2017 Filed Aug 17, 2017 17:37 UTC
Soffer GadEVP & Chief Strategy Officer
SaleCommon Stock 7,000 $15.00 $105,000.00
Disclosure

SEC source: 0001209191-17-049451 · doc4.xml · nonDerivative · entry 1

Soffer Gad · CIK 0001612090 · EVP & Chief Strategy Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 257,409

F1 · kind: Transaction pursuant to Rule 10b5-1 Plan adopted September 26, 2016.

Read SEC document
August 15, 2017 Filed Aug 17, 2017 21:35 UTC
Haqq ChristopherEVP, R&D & Chief Scientific Of
Exercise / conversionRestricted Stock Units · Derivative 829 $0.00 $0.00
Disclosure

SEC source: 0001209191-17-049448 · doc4.xml · derivative · entry 5

Haqq Christopher · CIK 0001612095 · EVP, R&D & Chief Scientific Of

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,382

Underlying: Common Stock · 829 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F5 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock or a cash settlement.

F6 · derivative.exercise_date: 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 1/48th of the total number of shares shall vest monthly from January 10, 2014, subject to the holder's continuous service through each such date.

F7 · derivative.expiration_date: The earlier of (i) January 10, 2021 or (ii) the recipient's termination date.

Read SEC document
August 15, 2017 Filed Aug 17, 2017 21:35 UTC
Haqq ChristopherEVP, R&D & Chief Scientific Of
SaleCommon Stock 7,604 $14.75 $112,159.00
Disclosure

SEC source: 0001209191-17-049448 · doc4.xml · nonDerivative · entry 2

Haqq Christopher · CIK 0001612095 · EVP, R&D & Chief Scientific Of

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 355,305

F2 · kind: Transaction pursuant to Rule 10b5-1 Plan adopted September 27, 2016.

Read SEC document
August 15, 2017 Filed Aug 17, 2017 21:35 UTC
Haqq ChristopherEVP, R&D & Chief Scientific Of
Exercise / conversionCommon Stock 829 $0.00 $0.00
Disclosure

SEC source: 0001209191-17-049448 · doc4.xml · nonDerivative · entry 1

Haqq Christopher · CIK 0001612095 · EVP, R&D & Chief Scientific Of

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 362,909

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Shares issued upon settlement of vested restricted stock units ("RSUs").

Read SEC document
August 15, 2017 Filed Aug 17, 2017 17:36 UTC
MCGRATH JOHNEVP & Chief Financial Officer
Exercise / conversionRestricted Stock Units · Derivative 7,697 $0.00 $0.00
Disclosure

SEC source: 0001209191-17-049449 · doc4.xml · derivative · entry 4

MCGRATH JOHN · CIK 0001205442 · EVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 12,829

Underlying: Common Stock · 7,697 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F5 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock or a cash settlement.

F6 · derivative.exercise_date: 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.

F7 · derivative.expiration_date: The earlier of (i) December 12, 2020 or (ii) the recipient's termination date.

F8 · ownership.nature: 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.

Read SEC document
August 15, 2017 Filed Aug 17, 2017 17:36 UTC
MCGRATH JOHNEVP & Chief Financial Officer
SaleCommon Stock 2,100 $14.23 $29,883.00
Disclosure

SEC source: 0001209191-17-049449 · doc4.xml · nonDerivative · entry 2

MCGRATH JOHN · CIK 0001205442 · EVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 123,057

F2 · kind: Transaction pursuant to Rule 10b5-1 Plan adopted July 6, 2016.

F3 · price: The price in Column 4 is a weighted average sale price. The prices actually received ranged from $14.20 to $14.275. 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.

Read SEC document
August 15, 2017 Filed Aug 17, 2017 17:36 UTC
MCGRATH JOHNEVP & Chief Financial Officer
Exercise / conversionCommon Stock 7,697 $0.00 $0.00
Disclosure

SEC source: 0001209191-17-049449 · doc4.xml · nonDerivative · entry 1

MCGRATH JOHN · CIK 0001205442 · EVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 125,157

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Shares issued upon settlement of vested restricted stock units ("RSUs").

Read SEC document
August 15, 2017 Filed Aug 17, 2017 21:38 UTC Exercise / conversionRestricted Stock Units · Derivative 818 $0.00 $0.00
Disclosure

SEC source: 0001209191-17-049452 · doc4.xml · derivative · entry 5

Gallagher Carol Giltner · CIK 0001329959 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,179

Underlying: Common Stock · 818 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock or a cash settlement.

F6 · derivative.exercise_date: 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.

F7 · derivative.expiration_date: The earlier of (i) March 27, 2021 or (ii) the recipient's termination date.

Read SEC document
August 15, 2017 Filed Aug 17, 2017 21:38 UTC Exercise / conversionRestricted Stock Units · Derivative 1,548 $0.00 $0.00
Disclosure

SEC source: 0001209191-17-049452 · doc4.xml · derivative · entry 4

Gallagher Carol Giltner · CIK 0001329959 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,097

Underlying: Common Stock · 1,548 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock or a cash settlement.

F4 · derivative.exercise_date: 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.

F5 · derivative.expiration_date: The earlier of (i) January 30, 2021 or (ii) the second anniversary of termination date.

Read SEC document
August 15, 2017 Filed Aug 17, 2017 21:38 UTC Exercise / conversionCommon Stock 818 $0.00 $0.00
Disclosure

SEC source: 0001209191-17-049452 · doc4.xml · nonDerivative · entry 2

Gallagher Carol Giltner · CIK 0001329959 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 109,740

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Shares issued upon settlement of vested restricted stock units.

Read SEC document
August 15, 2017 Filed Aug 17, 2017 21:38 UTC Exercise / conversionCommon Stock 1,548 $0.00 $0.00
Disclosure

SEC source: 0001209191-17-049452 · doc4.xml · nonDerivative · entry 1

Gallagher Carol Giltner · CIK 0001329959 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 108,922

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Shares issued upon settlement of vested restricted stock units.

Read SEC document
August 15, 2017 Filed Aug 17, 2017 21:41 UTC Exercise / conversionRestricted Stock Units · Derivative 1,603 $0.00 $0.00
Disclosure

SEC source: 0001209191-17-049453 · doc4.xml · derivative · entry 2

Fust Matthew K · CIK 0001397266 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,739

Underlying: Common Stock · 1,603 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock or a cash settlement.

F3 · derivative.exercise_date: 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 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 14, 2015 and 1/48th of the total number of shares monthly thereafter, subject to the holder's continuous service through each such date.

F4 · derivative.expiration_date: The earlier of (i) March 27, 2021 or (ii) the recipient's termination date.

Read SEC document
August 15, 2017 Filed Aug 17, 2017 21:41 UTC Exercise / conversionCommon Stock 1,603 $0.00 $0.00
Disclosure

SEC source: 0001209191-17-049453 · doc4.xml · nonDerivative · entry 1

Fust Matthew K · CIK 0001397266 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,901

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Shares issued upon settlement of vested restricted stock units.

Read SEC document
August 11, 2017 Filed Aug 14, 2017 19:23 UTC
Ciechanover Isaac E.Director · Chief Executive Officer
SaleCommon Stock 2,200 $14.58 $32,076.00
Disclosure

SEC source: 0001209191-17-048820 · doc4.xml · nonDerivative · entry 2

Ciechanover Isaac E. · CIK 0001612096 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 446,178

F1 · kind: Transaction pursuant to Rule 10b5-1 Plan adopted May 18, 2017.

F4 · price: The price in Column 4 is a weighted average sale price. The prices actually received ranged from $14.40 to $14.75. 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.

F3 · ownership.nature: Shares are held by the Isaac E. Ciechanover and Allison M. Ciechanover Family Trust dated 8/8/08, of which the Reporting Person is a trustee.

Read SEC document
August 10, 2017 Filed Aug 14, 2017 19:23 UTC
Ciechanover Isaac E.Director · Chief Executive Officer
SaleCommon Stock 2,200 $14.75 $32,450.00
Disclosure

SEC source: 0001209191-17-048820 · doc4.xml · nonDerivative · entry 1

Ciechanover Isaac E. · CIK 0001612096 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 448,378

F1 · kind: Transaction pursuant to Rule 10b5-1 Plan adopted May 18, 2017.

F2 · price: The price in Column 4 is a weighted average sale price. The prices actually received ranged from $14.45 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.

F3 · ownership.nature: Shares are held by the Isaac E. Ciechanover and Allison M. Ciechanover Family Trust dated 8/8/08, of which the Reporting Person is a trustee.

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July 25, 2017 Filed Jul 26, 2017 16:52 UTC
Ciechanover Isaac E.Director · Chief Executive Officer
SaleCommon Stock 200 $16.79 $3,358.00
Disclosure

SEC source: 0001209191-17-046332 · doc4.xml · nonDerivative · entry 4

Ciechanover Isaac E. · CIK 0001612096 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 450,578

F1 · kind: Transaction pursuant to Rule 10b5-1 Plan adopted May 18, 2017.

F6 · price: The price in Column 4 is a weighted average sale price. The prices actually received ranged from $16.70 to $16.85. 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.

F3 · ownership.nature: Shares are held by the Isaac E. Ciechanover and Allison M. Ciechanover Family Trust dated 8/8/08, of which the Reporting Person is a trustee.

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July 25, 2017 Filed Jul 26, 2017 16:52 UTC
Ciechanover Isaac E.Director · Chief Executive Officer
SaleCommon Stock 2,500 $15.97 $39,925.00
Disclosure

SEC source: 0001209191-17-046332 · doc4.xml · nonDerivative · entry 3

Ciechanover Isaac E. · CIK 0001612096 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 450,778

F1 · kind: Transaction pursuant to Rule 10b5-1 Plan adopted May 18, 2017.

F5 · price: The price in Column 4 is a weighted average sale price. The prices actually received ranged from $15.70 to $16.65. 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.

F3 · ownership.nature: Shares are held by the Isaac E. Ciechanover and Allison M. Ciechanover Family Trust dated 8/8/08, of which the Reporting Person is a trustee.

Read SEC document
July 24, 2017 Filed Jul 26, 2017 16:52 UTC
Ciechanover Isaac E.Director · Chief Executive Officer
SaleCommon Stock 300 $17.32 $5,196.00
Disclosure

SEC source: 0001209191-17-046332 · doc4.xml · nonDerivative · entry 2

Ciechanover Isaac E. · CIK 0001612096 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 453,278

F1 · kind: Transaction pursuant to Rule 10b5-1 Plan adopted May 18, 2017.

F4 · price: The price in Column 4 is a weighted average sale price. The prices actually received ranged from $17.30 to $17.35. 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.

F3 · ownership.nature: Shares are held by the Isaac E. Ciechanover and Allison M. Ciechanover Family Trust dated 8/8/08, of which the Reporting Person is a trustee.

Read SEC document
July 24, 2017 Filed Jul 26, 2017 16:52 UTC
Ciechanover Isaac E.Director · Chief Executive Officer
SaleCommon Stock 2,500 $16.89 $42,225.00
Disclosure

SEC source: 0001209191-17-046332 · doc4.xml · nonDerivative · entry 1

Ciechanover Isaac E. · CIK 0001612096 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 453,578

F1 · kind: Transaction pursuant to Rule 10b5-1 Plan adopted May 18, 2017.

F2 · price: The price in Column 4 is a weighted average sale price. The prices actually received ranged from $16.30 to $17.25. 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.

F3 · ownership.nature: Shares are held by the Isaac E. Ciechanover and Allison M. Ciechanover Family Trust dated 8/8/08, of which the Reporting Person is a trustee.

Read SEC document
July 17, 2017 Filed Jul 18, 2017 20:24 UTC
Haqq ChristopherEVP, R&D & Chief Scientific Of
SaleCommon Stock 6,000 $14.92 $89,520.00
Disclosure

SEC source: 0001209191-17-045509 · doc4.xml · nonDerivative · entry 1

Haqq Christopher · CIK 0001612095 · EVP, R&D & Chief Scientific Of

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 362,080

F1 · kind: Transaction pursuant to Rule 10b5-1 Plan adopted September 27, 2016.

F2 · price: The price in Column 4 is a weighted average sale price. The prices actually received ranged from $14.9161 to $14.95. 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.

Read SEC document
June 15, 2017 Filed Jun 16, 2017 20:47 UTC
Haqq ChristopherEVP, R&D & Chief Scientific Of
SaleCommon Stock 6,000 $12.65 $75,900.00
Disclosure

SEC source: 0001209191-17-040561 · doc4.xml · nonDerivative · entry 1

Haqq Christopher · CIK 0001612095 · EVP, R&D & Chief Scientific Of

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 368,080

F1 · kind: Transaction pursuant to Rule 10b5-1 Plan adopted September 27, 2016.

Read SEC document
June 09, 2017 Filed Jun 12, 2017 21:29 UTC SaleCommon Stock 1,000 $13.15 $13,150.00
Disclosure

SEC source: 0001209191-17-039239 · doc4.xml · nonDerivative · entry 2

Gallagher Carol Giltner · CIK 0001329959 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 107,374

F2 · kind: Transaction pursuant to Rule 10b5-1 Plan adopted October 14, 2016.

Read SEC document
June 08, 2017 Filed Jun 12, 2017 21:31 UTC GrantNonQualified Stock Option (Right to Buy) · Derivative 21,500 $0.00 Strike: $13.20 $0.00
Disclosure

SEC source: 0001209191-17-039241 · doc4.xml · derivative · entry 6

SEIDENBERG BETH C · CIK 0001184592 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,500

Underlying: Common Stock · 21,500 shares

Expires 2024-06-08

F6 · derivative.exercise_date: The option shall vest on June 8, 2018, subject to the Reporting Person's continuous service.

Read SEC document
June 08, 2017 Filed Jun 12, 2017 21:31 UTC GrantCommon Stock 5,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-17-039241 · doc4.xml · nonDerivative · entry 1

SEIDENBERG BETH C · CIK 0001184592 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,689

F1 · shares: These restricted stock units shall vest on June 8, 2018, subject to the Reporting Person's continuous service.

Read SEC document
June 08, 2017 Filed Jun 12, 2017 21:25 UTC GrantNon-Qualified Stock Option (Right to Buy) · Derivative 21,500 $0.00 Strike: $13.20 $0.00
Disclosure

SEC source: 0001209191-17-039231 · doc4.xml · derivative · entry 2

DOBMEIER ERIC · CIK 0001202785 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,500

Underlying: Common Stock · 21,500 shares

Expires 2024-06-08

F2 · derivative.exercise_date: The option shall vest on June 8, 2018, subject to the Reporting Person's continuous service.

Read SEC document
June 08, 2017 Filed Jun 12, 2017 21:25 UTC GrantCommon Stock 5,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-17-039231 · doc4.xml · nonDerivative · entry 1

DOBMEIER ERIC · CIK 0001202785 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,500

F1 · shares: These restricted stock units shall vest on June 8, 2018, subject to the Reporting Person's continuous service.

Read SEC document
June 08, 2017 Filed Jun 12, 2017 21:27 UTC GrantNon-Qualified Stock Option (Right to Buy) · Derivative 21,500 $0.00 Strike: $13.20 $0.00
Disclosure

SEC source: 0001209191-17-039236 · doc4.xml · derivative · entry 2

HEIDEN WILLIAM K · CIK 0001214939 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,500

Underlying: Common Stock · 21,500 shares

Expires 2024-06-08

F2 · derivative.exercise_date: The option shall vest on June 8, 2018, subject to the Reporting Person's continuous service.

Read SEC document
June 08, 2017 Filed Jun 12, 2017 21:27 UTC GrantCommon Stock 5,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-17-039236 · doc4.xml · nonDerivative · entry 1

HEIDEN WILLIAM K · CIK 0001214939 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,000

F1 · shares: These restricted stock units shall vest on June 8, 2018, subject to the Reporting Person's continuous service.

Read SEC document
June 08, 2017 Filed Jun 12, 2017 21:27 UTC GrantNon-Qualified Stock Option (Right to Buy) · Derivative 21,500 $0.00 Strike: $13.20 $0.00
Disclosure

SEC source: 0001209191-17-039238 · doc4.xml · derivative · entry 4

MARCUS JOEL S · CIK 0001216955 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,500

Underlying: Common Stock · 21,500 shares

Expires 2024-06-08

F3 · derivative.exercise_date: The option shall vest on June 8, 2018, subject to the Reporting Person's continuous service.

Read SEC document
June 08, 2017 Filed Jun 12, 2017 21:27 UTC GrantCommon Stock 5,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-17-039238 · doc4.xml · nonDerivative · entry 1

MARCUS JOEL S · CIK 0001216955 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,000

F1 · shares: These restricted stock units shall vest on June 8, 2018, subject to the Reporting Person's continuous service.

Read SEC document
June 08, 2017 Filed Jun 12, 2017 21:29 UTC GrantNon-Qualified Stock Option (Right to Buy) · Derivative 21,500 $0.00 Strike: $13.20 $0.00
Disclosure

SEC source: 0001209191-17-039239 · doc4.xml · derivative · entry 3

Gallagher Carol Giltner · CIK 0001329959 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,500

Underlying: Common Stock · 21,500 shares

Expires 2027-06-08

F3 · derivative.exercise_date: The option shall vest on June 8, 2018, subject to the Reporting Person's continuous service.

Read SEC document
June 08, 2017 Filed Jun 12, 2017 21:29 UTC GrantCommon Stock 5,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-17-039239 · doc4.xml · nonDerivative · entry 1

Gallagher Carol Giltner · CIK 0001329959 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 108,374

F1 · shares: These restricted stock units shall vest on June 8, 2018, subject to the Reporting Person's continuous service.

Read SEC document
June 08, 2017 Filed Jun 12, 2017 21:26 UTC GrantNon-Qualified Stock Option (Right to Buy) · Derivative 21,500 $0.00 Strike: $13.20 $0.00
Disclosure

SEC source: 0001209191-17-039234 · doc4.xml · derivative · entry 2

Fust Matthew K · CIK 0001397266 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,500

Underlying: Common Stock · 21,500 shares

Expires 2024-06-08

F2 · derivative.exercise_date: The option shall vest on June 8, 2018, subject to the Reporting Person's continuous service.

Read SEC document
June 08, 2017 Filed Jun 12, 2017 21:26 UTC GrantCommon Stock 5,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-17-039234 · doc4.xml · nonDerivative · entry 1

Fust Matthew K · CIK 0001397266 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,298

F1 · shares: These restricted stock units shall vest on June 8, 2018, subject to the Reporting Person's continuous service.

Read SEC document
May 31, 2017 Filed May 31, 2017 19:44 UTC
Ciechanover Isaac E.Director · Chief Executive Officer
SaleCommon Stock 3,450 $13.26 $45,747.00
Disclosure

SEC source: 0001209191-17-036609 · doc4.xml · nonDerivative · entry 2

Ciechanover Isaac E. · CIK 0001612096 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 456,078

F1 · kind: Transaction pursuant to Rule 10b5-1 Plan adopted March 22, 2016.

F4 · price: The price in Column 4 is a weighted average sale price. The prices actually received ranged from $13.00 to $13.40. 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.

F3 · ownership.nature: Shares are held by the Isaac E. Ciechanover and Allison M. Ciechanover Family Trust dated 8/8/08, of which the Reporting Person is a trustee.

Read SEC document

Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.