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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
May 17, 2022 Filed May 19, 2022 21:16 UTC
Koppikar UtpalChief Financial Officer
SaleCommon Stock 966 $5.32 $5,136.22
Disclosure

SEC source: 0001140361-22-019988 · form4.xml · nonDerivative · entry 2

Koppikar Utpal · CIK 0001742696 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 207,592

F1 · kind: Shares sold pursuant to a 10b5-1 arrangement to satisfy tax obligations in connection with the vesting of previously granted restricted stock units.

F2 · price: The sale price of the reporting person's shares represents the weighted average price of all shares sold by a broker on May 17, 2022 and May 18, 2022 on behalf of a group of employees of the Issuer to satisfy the payment of withholding tax liability of such employee.

Read SEC document
May 17, 2022 Filed May 19, 2022 21:16 UTC
Koppikar UtpalChief Financial Officer
SaleCommon Stock 4,616 $5.32 $24,538.66
Disclosure

SEC source: 0001140361-22-019988 · form4.xml · nonDerivative · entry 1

Koppikar Utpal · CIK 0001742696 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 208,558

F1 · kind: Shares sold pursuant to a 10b5-1 arrangement to satisfy tax obligations in connection with the vesting of previously granted restricted stock units.

F2 · price: The sale price of the reporting person's shares represents the weighted average price of all shares sold by a broker on May 17, 2022 and May 18, 2022 on behalf of a group of employees of the Issuer to satisfy the payment of withholding tax liability of such employee.

Read SEC document
March 01, 2022 Filed Mar 3, 2022 19:02 UTC
Murugan AmarSVP, GC & Secretary
GrantEmployee Stock Option (Right to Buy) · Derivative 97,398 $0.00 Strike: $10.21 $0.00
Disclosure

SEC source: 0001140361-22-007763 · form4.xml · derivative · entry 4

Murugan Amar · CIK 0001809916 · SVP, GC & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 97,398

Underlying: Common Stock · 97,398 shares

Expires 2032-02-28

F4 · derivative.exercise_date: 1/48th of the shares subject to the stock option vest and become exercisable each month with the initial installment vesting on April 1, 2022, subject to the reporting person's continuous service.

Read SEC document
March 01, 2022 Filed Mar 3, 2022 19:02 UTC
Murugan AmarSVP, GC & Secretary
SaleCommon Stock 1,112 $9.86 $10,959.87
Disclosure

SEC source: 0001140361-22-007763 · form4.xml · nonDerivative · entry 3

Murugan Amar · CIK 0001809916 · SVP, GC & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 136,958

F2 · kind: Shares sold pursuant to a 10b5-1 arrangement to satisfy tax obligations in connection with the vesting of previously granted restricted stock units.

F3 · price: The sale price of the reporting person's shares represents the weighted average price of all shares sold by a broker on March 1, 2022 on behalf of a group of employees of the Issuer to satisfy the payment of withholding tax liability of such employee.

F5 · balance_after: Includes 181 shares purchased under the Issuer's Employee Stock Purchase Plan on November 30, 2021.

Read SEC document
March 01, 2022 Filed Mar 3, 2022 19:02 UTC
Murugan AmarSVP, GC & Secretary
SaleCommon Stock 1,465 $9.86 $14,440.51
Disclosure

SEC source: 0001140361-22-007763 · form4.xml · nonDerivative · entry 2

Murugan Amar · CIK 0001809916 · SVP, GC & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 138,070

F2 · kind: Shares sold pursuant to a 10b5-1 arrangement to satisfy tax obligations in connection with the vesting of previously granted restricted stock units.

F3 · price: The sale price of the reporting person's shares represents the weighted average price of all shares sold by a broker on March 1, 2022 on behalf of a group of employees of the Issuer to satisfy the payment of withholding tax liability of such employee.

F5 · balance_after: Includes 181 shares purchased under the Issuer's Employee Stock Purchase Plan on November 30, 2021.

Read SEC document
March 01, 2022 Filed Mar 3, 2022 19:02 UTC
Murugan AmarSVP, GC & Secretary
GrantCommon Stock 51,814 $0.00 $0.00
Disclosure

SEC source: 0001140361-22-007763 · form4.xml · nonDerivative · entry 1

Murugan Amar · CIK 0001809916 · SVP, GC & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 139,535

F1 · shares: These restricted stock units vest in 16 equal quarterly installments on each Company Quarterly Vesting Date (as defined below), with the initial installment vesting on May 15, 2022, subject to the reporting person's continuous service. Company Quarterly Vesting Date means March 1, May 15, August 15 and November 15 of each year.

F5 · balance_after: Includes 181 shares purchased under the Issuer's Employee Stock Purchase Plan on November 30, 2021.

Read SEC document
March 01, 2022 Filed Mar 3, 2022 19:02 UTC
Touchon PascalDirector · President and CEO
GrantEmployee Stock Option (Right to Buy) · Derivative 339,419 $0.00 Strike: $10.21 $0.00
Disclosure

SEC source: 0001140361-22-007764 · form4.xml · derivative · entry 3

Touchon Pascal · CIK 0001780060 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 339,419

Underlying: Common Stock · 339,419 shares

Expires 2032-02-28

F4 · derivative.exercise_date: 1/48th of the shares subject to the stock option vest and become exercisable each month with the initial installment vesting on April 1, 2022, subject to the reporting person's continuous service.

Read SEC document
March 01, 2022 Filed Mar 3, 2022 19:02 UTC
Touchon PascalDirector · President and CEO
SaleCommon Stock 8,828 $9.86 $87,008.77
Disclosure

SEC source: 0001140361-22-007764 · form4.xml · nonDerivative · entry 2

Touchon Pascal · CIK 0001780060 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 500,226

F2 · kind: Shares sold pursuant to a 10b5-1 arrangement to satisfy tax obligations in connection with the vesting of previously granted restricted stock units.

F3 · price: The sale price of the reporting person's shares represents the weighted average price of all shares sold by a broker on March 1, 2022 on behalf of a group of employees of the Issuer to satisfy the payment of withholding tax liability of such employee.

Read SEC document
March 01, 2022 Filed Mar 3, 2022 19:02 UTC
Touchon PascalDirector · President and CEO
GrantCommon Stock 180,565 $0.00 $0.00
Disclosure

SEC source: 0001140361-22-007764 · form4.xml · nonDerivative · entry 1

Touchon Pascal · CIK 0001780060 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 509,054

F1 · shares: These restricted stock units vest in 16 equal quarterly installments on each Company Quarterly Vesting Date (as defined below), with the initial installment vesting on May 15, 2022, subject to the reporting person's continuous service. Company Quarterly Vesting Date means March 1, May 15, August 15 and November 15 of each year.

Read SEC document
March 01, 2022 Filed Mar 4, 2022 00:02 UTC
Dupont JakobEVP, Head of R&D
GrantEmployee Stock Option (Right to Buy) · Derivative 147,573 $0.00 Strike: $10.21 $0.00
Disclosure

SEC source: 0001140361-22-007765 · form4.xml · derivative · entry 3

Dupont Jakob · CIK 0001553335 · EVP, Head of R&D

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 147,573

Underlying: Common Stock · 147,573 shares

Expires 2032-02-28

F4 · derivative.exercise_date: 1/48th of the shares subject to the stock option vest and become exercisable each month with the initial installment vesting on April 1, 2022, subject to the reporting person's continuous service.

Read SEC document
March 01, 2022 Filed Mar 4, 2022 00:02 UTC
Dupont JakobEVP, Head of R&D
SaleCommon Stock 2,221 $9.86 $21,890.18
Disclosure

SEC source: 0001140361-22-007765 · form4.xml · nonDerivative · entry 2

Dupont Jakob · CIK 0001553335 · EVP, Head of R&D

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 166,879

F2 · kind: Shares sold pursuant to a 10b5-1 arrangement to satisfy tax obligations in connection with the vesting of previously granted restricted stock units.

F3 · price: The sale price of the reporting person's shares represents the weighted average price of all shares sold by a broker on March 1, 2022 on behalf of a group of employees of the Issuer to satisfy the payment of withholding tax liability of such employee.

Read SEC document
March 01, 2022 Filed Mar 4, 2022 00:02 UTC
Dupont JakobEVP, Head of R&D
GrantCommon Stock 78,506 $0.00 $0.00
Disclosure

SEC source: 0001140361-22-007765 · form4.xml · nonDerivative · entry 1

Dupont Jakob · CIK 0001553335 · EVP, Head of R&D

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 169,100

F1 · shares: These restricted stock units vest in 16 equal quarterly installments on each Company Quarterly Vesting Date (as defined below), with the initial installment vesting on May 15, 2022, subject to the reporting person's continuous service. Company Quarterly Vesting Date means March 1, May 15, August 15 and November 15 of each year.

Read SEC document
March 01, 2022 Filed Mar 4, 2022 00:02 UTC
Koppikar UtpalChief Financial Officer
GrantEmployee Stock Option (Right to Buy) · Derivative 115,107 $0.00 Strike: $10.21 $0.00
Disclosure

SEC source: 0001140361-22-007767 · form4.xml · derivative · entry 4

Koppikar Utpal · CIK 0001742696 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 115,107

Underlying: Common Stock · 115,107 shares

Expires 2032-02-28

F4 · derivative.exercise_date: 1/48th of the shares subject to the stock option vest and become exercisable each month with the initial installment vesting on April 1, 2022, subject to the reporting person's continuous service.

Read SEC document
March 01, 2022 Filed Mar 4, 2022 00:02 UTC
Koppikar UtpalChief Financial Officer
SaleCommon Stock 1,491 $9.86 $14,696.79
Disclosure

SEC source: 0001140361-22-007767 · form4.xml · nonDerivative · entry 3

Koppikar Utpal · CIK 0001742696 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 213,174

F2 · kind: Shares sold pursuant to a 10b5-1 arrangement to satisfy tax obligations in connection with the vesting of previously granted restricted stock units.

F3 · price: The sale price of the reporting person's shares represents the weighted average price of all shares sold by a broker on March 1, 2022 on behalf of a group of employees of the Issuer to satisfy the payment of withholding tax liability of such employee.

Read SEC document
March 01, 2022 Filed Mar 4, 2022 00:02 UTC
Koppikar UtpalChief Financial Officer
SaleCommon Stock 2,272 $9.86 $22,392.83
Disclosure

SEC source: 0001140361-22-007767 · form4.xml · nonDerivative · entry 2

Koppikar Utpal · CIK 0001742696 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 214,665

F2 · kind: Shares sold pursuant to a 10b5-1 arrangement to satisfy tax obligations in connection with the vesting of previously granted restricted stock units.

F3 · price: The sale price of the reporting person's shares represents the weighted average price of all shares sold by a broker on March 1, 2022 on behalf of a group of employees of the Issuer to satisfy the payment of withholding tax liability of such employee.

Read SEC document
March 01, 2022 Filed Mar 4, 2022 00:02 UTC
Koppikar UtpalChief Financial Officer
GrantCommon Stock 61,235 $0.00 $0.00
Disclosure

SEC source: 0001140361-22-007767 · form4.xml · nonDerivative · entry 1

Koppikar Utpal · CIK 0001742696 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 216,937

F1 · shares: These restricted stock units vest in 16 equal quarterly installments on each Company Quarterly Vesting Date (as defined below), with the initial installment vesting on May 15, 2022, subject to the reporting person's continuous service. Company Quarterly Vesting Date means March 1, May 15, August 15 and November 15 of each year.

Read SEC document
March 01, 2022 Filed Mar 4, 2022 00:02 UTC
Yarema KristinChief Commercial Officer
GrantEmployee Stock Option (Right to Buy) · Derivative 85,592 $0.00 Strike: $10.21 $0.00
Disclosure

SEC source: 0001140361-22-007766 · form4.xml · derivative · entry 2

Yarema Kristin · CIK 0001803794 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 85,592

Underlying: Common Stock · 85,592 shares

Expires 2032-02-28

F2 · derivative.exercise_date: 1/48th of the shares subject to the stock option vest and become exercisable each month with the initial installment vesting on April 1, 2022, subject to the reporting person's continuous service.

Read SEC document
March 01, 2022 Filed Mar 4, 2022 00:02 UTC
Yarema KristinChief Commercial Officer
GrantCommon Stock 45,533 $0.00 $0.00
Disclosure

SEC source: 0001140361-22-007766 · form4.xml · nonDerivative · entry 1

Yarema Kristin · CIK 0001803794 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 171,415

F1 · shares: These restricted stock units vest in 16 equal quarterly installments on each Company Quarterly Vesting Date (as defined below), with the initial installment vesting on May 15, 2022, subject to the reporting person's continuous service. Company Quarterly Vesting Date means March 1, May 15, August 15 and November 15 of each year.

Read SEC document
February 10, 2022 Filed Feb 14, 2022 22:42 UTC
Dupont JakobEVP, Head of R&D
Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative 5,000 $0.00 Strike: $9.58 $0.00
Disclosure

SEC source: 0001567619-22-004499 · doc1.xml · derivative · entry 3

Dupont Jakob · CIK 0001553335 · EVP, Head of R&D

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 257,500

Underlying: Common Stock · 5,000 shares

Expires 2030-05-13

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 · kind: Transaction pursuant to Rule 10b5-1 Plan adopted September 3, 2021.

F2 · derivative.exercise_date: 25% of the shares subject to the option vested on May 14, 2021 and the remaining shares vest in equal monthly installments over the following 36 months, subject to the reporting person's continuous service.

Read SEC document
February 10, 2022 Filed Feb 14, 2022 22:42 UTC
Dupont JakobEVP, Head of R&D
SaleCommon Stock 5,000 $16.00 $80,000.00
Disclosure

SEC source: 0001567619-22-004499 · doc1.xml · nonDerivative · entry 2

Dupont Jakob · CIK 0001553335 · EVP, Head of R&D

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,594

F1 · kind: Transaction pursuant to Rule 10b5-1 Plan adopted September 3, 2021.

Read SEC document
February 10, 2022 Filed Feb 14, 2022 22:42 UTC
Dupont JakobEVP, Head of R&D
Exercise / conversionCommon Stock 5,000 $9.58 $47,900.00
Disclosure

SEC source: 0001567619-22-004499 · doc1.xml · nonDerivative · entry 1

Dupont Jakob · CIK 0001553335 · EVP, Head of R&D

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 95,594

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 · kind: Transaction pursuant to Rule 10b5-1 Plan adopted September 3, 2021.

Read SEC document
February 07, 2022 Filed Feb 9, 2022 21:35 UTC
Koppikar UtpalChief Financial Officer
SaleCommon Stock 2,496 $14.46 $36,095.90
Disclosure

SEC source: 0001567619-22-003052 · doc1.xml · nonDerivative · entry 1

Koppikar Utpal · CIK 0001742696 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 155,702

F1 · kind: Shares sold pursuant to a 10b5-1 arrangement to satisfy tax obligations in connection with the vesting of previously granted Restricted Stock Units.

F2 · price: The sale price of the reporting person's shares represents the weighted average price of all shares sold by a broker on February 7, 2021 on behalf of a group of employees of the Issuer to satisfy the payment of withholding tax liability of such employees. The prices actually received ranged from $14.46 to $14.75, inclusive. 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 on behalf of the group at each price within the range.

F3 · balance_after: Includes 484 shares purchased under the Issuer's Employee Stock Purchase Plan on November 30, 2021.

Read SEC document
January 03, 2022 Filed Jan 5, 2022 21:47 UTC
Dupont JakobEVP, Head of R&D
Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative 5,000 $0.00 Strike: $9.58 $0.00
Disclosure

SEC source: 0001567619-22-000568 · doc1.xml · derivative · entry 3

Dupont Jakob · CIK 0001553335 · EVP, Head of R&D

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 262,500

Underlying: Common Stock · 5,000 shares

Expires 2030-05-13

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 · kind: Transaction pursuant to Rule 10b5-1 Plan adopted September 3, 2021.

F2 · derivative.exercise_date: 25% of the shares subject to the option vested on May 14, 2021 and the remaining shares vest in equal monthly installments over the following 36 months, subject to the reporting person's continuous service.

Read SEC document
January 03, 2022 Filed Jan 5, 2022 21:47 UTC
Dupont JakobEVP, Head of R&D
SaleCommon Stock 5,000 $16.01 $80,050.00
Disclosure

SEC source: 0001567619-22-000568 · doc1.xml · nonDerivative · entry 2

Dupont Jakob · CIK 0001553335 · EVP, Head of R&D

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,594

F1 · kind: Transaction pursuant to Rule 10b5-1 Plan adopted September 3, 2021.

Read SEC document
January 03, 2022 Filed Jan 5, 2022 21:47 UTC
Dupont JakobEVP, Head of R&D
Exercise / conversionCommon Stock 5,000 $9.58 $47,900.00
Disclosure

SEC source: 0001567619-22-000568 · doc1.xml · nonDerivative · entry 1

Dupont Jakob · CIK 0001553335 · EVP, Head of R&D

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 95,594

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 · kind: Transaction pursuant to Rule 10b5-1 Plan adopted September 3, 2021.

Read SEC document
December 01, 2021 Filed Dec 3, 2021 21:15 UTC
Dupont JakobEVP, Head of R&D
Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative 5,000 $0.00 Strike: $9.58 $0.00
Disclosure

SEC source: 0001567619-21-021583 · doc1.xml · derivative · entry 3

Dupont Jakob · CIK 0001553335 · EVP, Head of R&D

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 267,500

Underlying: Common Stock · 5,000 shares

Expires 2030-05-13

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 · kind: Transaction pursuant to Rule 10b5-1 Plan adopted September 3, 2021.

F3 · derivative.exercise_date: 25% of the shares subject to the option vested on May 14, 2021 and the remaining shares vest in equal monthly installments over the following 36 months, subject to the reporting person's continuous service.

Read SEC document
December 01, 2021 Filed Dec 3, 2021 21:15 UTC
Dupont JakobEVP, Head of R&D
SaleCommon Stock 5,000 $17.94 $89,688.50
Disclosure

SEC source: 0001567619-21-021583 · doc1.xml · nonDerivative · entry 2

Dupont Jakob · CIK 0001553335 · EVP, Head of R&D

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,594

F1 · kind: Transaction pursuant to Rule 10b5-1 Plan adopted September 3, 2021.

F2 · price: The price in Column 4 is a weighted average sale price. The prices actually received ranged from $17.78 to $18.135. 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
December 01, 2021 Filed Dec 3, 2021 21:15 UTC
Dupont JakobEVP, Head of R&D
Exercise / conversionCommon Stock 5,000 $9.58 $47,900.00
Disclosure

SEC source: 0001567619-21-021583 · doc1.xml · nonDerivative · entry 1

Dupont Jakob · CIK 0001553335 · EVP, Head of R&D

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 95,594

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 · kind: Transaction pursuant to Rule 10b5-1 Plan adopted September 3, 2021.

Read SEC document
November 16, 2021 Filed Nov 18, 2021 17:53 UTC
Murugan AmarSVP, GC & Secretary
SaleCommon Stock 2,124 $17.12 $36,356.30
Disclosure

SEC source: 0001567619-21-020779 · doc1.xml · nonDerivative · entry 1

Murugan Amar · CIK 0001809916 · SVP, GC & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 87,540

F1 · kind: Shares sold pursuant to a 10b5-1 arrangement to satisfy tax obligations in connection with the vesting of previously granted Restricted Stock Units.

F2 · price: The sale price of the reporting person's shares represents the weighted average price of all shares sold by a broker on November 16, 2021 on behalf of a group of employees of the Issuer to satisfy the payment of withholding tax liability of such employees. The prices actually received ranged from $16.45 to $17.3823. 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 on behalf of the group at each price within the range.

Read SEC document
November 16, 2021 Filed Nov 18, 2021 17:55 UTC
Touchon PascalDirector · President and CEO
SaleCommon Stock 8,402 $17.12 $143,816.19
Disclosure

SEC source: 0001567619-21-020781 · doc1.xml · nonDerivative · entry 1

Touchon Pascal · CIK 0001780060 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 328,489

F1 · kind: Shares sold pursuant to a 10b5-1 arrangement to satisfy tax obligations in connection with the vesting of previously granted Restricted Stock Units.

F2 · price: The sale price of the reporting person's shares represents the weighted average price of all shares sold by a broker on November 16, 2021 on behalf of a group of employees of the Issuer to satisfy the payment of withholding tax liability of such employees. The prices actually received ranged from $16.45 to $17.3823. 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 on behalf of the group at each price within the range.

Read SEC document
November 16, 2021 Filed Nov 18, 2021 22:52 UTC
Dupont JakobEVP, Head of R&D
SaleCommon Stock 2,199 $17.12 $37,640.06
Disclosure

SEC source: 0001567619-21-020777 · doc1.xml · nonDerivative · entry 1

Dupont Jakob · CIK 0001553335 · EVP, Head of R&D

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,594

F1 · kind: Shares sold pursuant to a 10b5-1 arrangement to satisfy tax obligations in connection with the vesting of previously granted Restricted Stock Units.

F2 · price: The sale price of the reporting person's shares represents the weighted average price of all shares sold by a broker on November 16, 2021 on behalf of a group of employees of the Issuer to satisfy the payment of withholding tax liability of such employees. The prices actually received ranged from $16.45 to $17.3823. 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 on behalf of the group at each price within the range.

Read SEC document
November 16, 2021 Filed Nov 18, 2021 22:54 UTC
Newell JoeChief Operations Officer
SaleCommon Stock 3,332 $17.12 $57,033.51
Disclosure

SEC source: 0001567619-21-020780 · doc1.xml · nonDerivative · entry 1

Newell Joe · CIK 0001702457 · Chief Operations Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 113,097

F1 · kind: Shares sold pursuant to a 10b5-1 arrangement to satisfy tax obligations in connection with the vesting of previously granted Restricted Stock Units.

F2 · price: The sale price of the reporting person's shares represents the weighted average price of all shares sold by a broker on November 16, 2021 on behalf of a group of employees of the Issuer to satisfy the payment of withholding tax liability of such employees. The prices actually received ranged from $16.45 to $17.3823. 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 on behalf of the group at each price within the range.

Read SEC document
November 16, 2021 Filed Nov 18, 2021 22:53 UTC
Koppikar UtpalChief Financial Officer
SaleCommon Stock 3,655 $17.12 $62,562.27
Disclosure

SEC source: 0001567619-21-020778 · doc1.xml · nonDerivative · entry 1

Koppikar Utpal · CIK 0001742696 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 157,714

F1 · kind: Shares sold pursuant to a 10b5-1 arrangement to satisfy tax obligations in connection with the vesting of previously granted Restricted Stock Units.

F2 · price: The sale price of the reporting person's shares represents the weighted average price of all shares sold by a broker on November 16, 2021 on behalf of a group of employees of the Issuer to satisfy the payment of withholding tax liability of such employees. The prices actually received ranged from $16.45 to $17.3823. 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 on behalf of the group at each price within the range.

Read SEC document
November 15, 2021 Filed Nov 17, 2021 21:15 UTC
Newell JoeChief Operations Officer
Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative 708 $0.00 Strike: $12.15 $0.00
Disclosure

SEC source: 0001567619-21-020653 · doc1.xml · derivative · entry 4

Newell Joe · CIK 0001702457 · Chief Operations Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,917

Underlying: Common Stock · 708 shares

Expires 2030-02-28

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 · kind: Transaction pursuant to Rule 10b5-1 Plan adopted September 14, 2020.

F3 · derivative.exercise_date: 1/48th of the shares subject to the stock option vest and become exercisable each month with the initial installment vesting on April 1, 2020, subject to the reporting person's continuous service.

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November 15, 2021 Filed Nov 17, 2021 21:15 UTC
Newell JoeChief Operations Officer
Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative 2,792 $0.00 Strike: $12.15 $0.00
Disclosure

SEC source: 0001567619-21-020653 · doc1.xml · derivative · entry 3

Newell Joe · CIK 0001702457 · Chief Operations Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,083

Underlying: Common Stock · 2,792 shares

Expires 2030-02-28

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 · kind: Transaction pursuant to Rule 10b5-1 Plan adopted September 14, 2020.

F3 · derivative.exercise_date: 1/48th of the shares subject to the stock option vest and become exercisable each month with the initial installment vesting on April 1, 2020, subject to the reporting person's continuous service.

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November 15, 2021 Filed Nov 17, 2021 21:15 UTC
Newell JoeChief Operations Officer
SaleCommon Stock 7,000 $17.71 $124,004.30
Disclosure

SEC source: 0001567619-21-020653 · doc1.xml · nonDerivative · entry 2

Newell Joe · CIK 0001702457 · Chief Operations Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 116,429

F1 · kind: Transaction pursuant to Rule 10b5-1 Plan adopted September 14, 2020.

F2 · price: The price in Column 4 is a weighted average sale price. The prices actually received ranged from $17.62 to $17.85. 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.

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November 15, 2021 Filed Nov 17, 2021 21:15 UTC
Newell JoeChief Operations Officer
Exercise / conversionCommon Stock 3,500 $12.15 $42,525.00
Disclosure

SEC source: 0001567619-21-020653 · doc1.xml · nonDerivative · entry 1

Newell Joe · CIK 0001702457 · Chief Operations Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 123,429

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 · kind: Transaction pursuant to Rule 10b5-1 Plan adopted September 14, 2020.

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November 04, 2021 Filed Nov 5, 2021 20:28 UTC SaleCommon Stock 13,354 $19.50 $260,403.00
Disclosure

SEC source: 0001567619-21-019403 · doc1.xml · nonDerivative · entry 1

Fust Matthew K · CIK 0001397266 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,500

F1 · kind: Transaction pursuant to Rule 10b5-1 Plan adopted May 14, 2021.

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November 02, 2021 Filed Nov 4, 2021 20:10 UTC
Dupont JakobEVP, Head of R&D
Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative 5,000 $0.00 Strike: $9.58 $0.00
Disclosure

SEC source: 0001567619-21-019331 · doc1.xml · derivative · entry 3

Dupont Jakob · CIK 0001553335 · EVP, Head of R&D

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 272,500

Underlying: Common Stock · 5,000 shares

Expires 2030-05-13

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 · kind: Transaction pursuant to Rule 10b5-1 Plan adopted September 3, 2021.

F2 · derivative.exercise_date: 25% of the shares subject to the option vest on May 14, 2021 and the remaining shares vest in equal monthly installments over the following 36 months, subject to the reporting person's continuous service.

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November 02, 2021 Filed Nov 4, 2021 20:10 UTC
Dupont JakobEVP, Head of R&D
SaleCommon Stock 5,000 $16.41 $82,050.00
Disclosure

SEC source: 0001567619-21-019331 · doc1.xml · nonDerivative · entry 2

Dupont Jakob · CIK 0001553335 · EVP, Head of R&D

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 92,793

F1 · kind: Transaction pursuant to Rule 10b5-1 Plan adopted September 3, 2021.

Read SEC document
November 02, 2021 Filed Nov 4, 2021 20:10 UTC
Dupont JakobEVP, Head of R&D
Exercise / conversionCommon Stock 5,000 $9.58 $47,900.00
Disclosure

SEC source: 0001567619-21-019331 · doc1.xml · nonDerivative · entry 1

Dupont Jakob · CIK 0001553335 · EVP, Head of R&D

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 97,793

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 · kind: Transaction pursuant to Rule 10b5-1 Plan adopted September 3, 2021.

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September 22, 2021 Filed Sep 24, 2021 21:35 UTC
Newell JoeChief Operations Officer
Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative 2,125 $17.00 Strike: $12.15 $36,125.00
Disclosure

SEC source: 0001567619-21-017578 · doc1.xml · derivative · entry 4

Newell Joe · CIK 0001702457 · Chief Operations Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,625

Underlying: Common Stock · 2,125 shares

Expires 2030-02-28

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 · kind: Transaction pursuant to Rule 10b5-1 Plan adopted September 14, 2020.

F2 · derivative.exercise_date: 1/48th of the shares subject to the stock option vest and become exercisable each month with the initial installment vesting on April 1, 2020, subject to the reporting person's continuous service.

Read SEC document
September 22, 2021 Filed Sep 24, 2021 21:35 UTC
Newell JoeChief Operations Officer
Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative 8,375 $17.00 Strike: $12.15 $142,375.00
Disclosure

SEC source: 0001567619-21-017578 · doc1.xml · derivative · entry 3

Newell Joe · CIK 0001702457 · Chief Operations Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,875

Underlying: Common Stock · 8,375 shares

Expires 2030-02-28

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 · kind: Transaction pursuant to Rule 10b5-1 Plan adopted September 14, 2020.

F2 · derivative.exercise_date: 1/48th of the shares subject to the stock option vest and become exercisable each month with the initial installment vesting on April 1, 2020, subject to the reporting person's continuous service.

Read SEC document
September 22, 2021 Filed Sep 24, 2021 21:35 UTC
Newell JoeChief Operations Officer
SaleCommon Stock 10,500 $17.00 $178,500.00
Disclosure

SEC source: 0001567619-21-017578 · doc1.xml · nonDerivative · entry 2

Newell Joe · CIK 0001702457 · Chief Operations Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 119,929

F1 · kind: Transaction pursuant to Rule 10b5-1 Plan adopted September 14, 2020.

Read SEC document
September 22, 2021 Filed Sep 24, 2021 21:35 UTC
Newell JoeChief Operations Officer
Exercise / conversionCommon Stock 10,500 $12.15 $127,575.00
Disclosure

SEC source: 0001567619-21-017578 · doc1.xml · nonDerivative · entry 1

Newell Joe · CIK 0001702457 · Chief Operations Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 130,429

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 · kind: Transaction pursuant to Rule 10b5-1 Plan adopted September 14, 2020.

Read SEC document
September 15, 2021 Filed Sep 17, 2021 20:36 UTC
Newell JoeChief Operations Officer
SaleCommon Stock 3,116 $15.61 $48,647.30
Disclosure

SEC source: 0001567619-21-017260 · doc1.xml · nonDerivative · entry 1

Newell Joe · CIK 0001702457 · Chief Operations Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 119,929

F1 · kind: Transaction pursuant to Rule 10b5-1 Plan adopted September 14, 2020.

F2 · price: The price in Column 4 is a weighted average sale price. The prices actually received ranged from $15.54 to $15.73. 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 30, 2021 Filed Aug 31, 2021 21:05 UTC
Newell JoeChief Operations Officer
SaleCommon Stock 3,500 $15.00 $52,500.00
Disclosure

SEC source: 0001567619-21-016517 · doc1.xml · nonDerivative · entry 1

Newell Joe · CIK 0001702457 · Chief Operations Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 123,045

F1 · kind: Transaction pursuant to Rule 10b5-1 Plan adopted September 14, 2020.

Read SEC document
August 17, 2021 Filed Aug 19, 2021 19:35 UTC
Murugan AmarSVP, GC & Secretary
SaleCommon Stock 2,080 $12.53 $26,066.56
Disclosure

SEC source: 0001567619-21-016149 · doc1.xml · nonDerivative · entry 1

Murugan Amar · CIK 0001809916 · SVP, GC & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 89,664

F1 · kind: Shares sold pursuant to a 10b5-1 arrangement to satisfy tax obligations in connection with the vesting of previously granted Restricted Stock Units.

F2 · price: The sale price of the reporting person's shares represents the weighted average price of all shares sold by a broker on August 17, 2021 and August 18, 2021 on behalf of a group of employees of the Issuer to satisfy the payment of withholding tax liability of such employees.

Read SEC document
August 17, 2021 Filed Aug 19, 2021 19:37 UTC
Touchon PascalDirector · President and CEO
SaleCommon Stock 8,223 $12.53 $103,050.64
Disclosure

SEC source: 0001567619-21-016151 · doc1.xml · nonDerivative · entry 1

Touchon Pascal · CIK 0001780060 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 336,891

F1 · kind: Shares sold pursuant to a 10b5-1 arrangement to satisfy tax obligations in connection with the vesting of previously granted Restricted Stock Units.

F2 · price: The sale price of the reporting person's shares represents the weighted average price of all shares sold by a broker on August 17, 2021 and August 18, 2021 on behalf of a group of employees of the Issuer to satisfy the payment of withholding tax liability of such employees.

Read SEC document
August 17, 2021 Filed Aug 19, 2021 23:36 UTC
Newell JoeChief Operations Officer
SaleCommon Stock 2,426 $12.53 $30,402.63
Disclosure

SEC source: 0001567619-21-016150 · doc1.xml · nonDerivative · entry 1

Newell Joe · CIK 0001702457 · Chief Operations Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 126,545

F1 · kind: Shares sold pursuant to a 10b5-1 arrangement to satisfy tax obligations in connection with the vesting of previously granted Restricted Stock Units.

F2 · price: The sale price of the reporting person's shares represents the weighted average price of all shares sold by a broker on August 17, 2021 and August 18, 2021 on behalf of a group of employees of the Issuer to satisfy the payment of withholding tax liability of such employees.

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.