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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
March 01, 2021 Filed Mar 3, 2021 22:15 UTC
Yarema KristinChief Commercial Officer
GrantCommon Stock 35,021 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-017037 · doc4.xml · nonDerivative · entry 1

Yarema Kristin · CIK 0001803794 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 92,289

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, 2021, 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.

F2 · balance_after: Includes 2,268 shares purchased pursuant to the Issuer's Employee Stock Purchase Plan on November 30, 2020.

Read SEC document
March 01, 2021 Filed Mar 3, 2021 22:14 UTC
Koppikar UtpalChief Financial Officer
GrantEmployee Stock Option (Right to Buy) · Derivative 68,314 $0.00 Strike: $17.11 $0.00
Disclosure

SEC source: 0001209191-21-017033 · doc4.xml · derivative · entry 2

Koppikar Utpal · CIK 0001742696 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 68,314

Underlying: Common Stock · 68,314 shares

Expires 2031-02-28

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, 2021, subject to the reporting person's continuous service.

Read SEC document
March 01, 2021 Filed Mar 3, 2021 22:14 UTC
Koppikar UtpalChief Financial Officer
GrantCommon Stock 45,258 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-017033 · doc4.xml · nonDerivative · entry 1

Koppikar Utpal · CIK 0001742696 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 175,804

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, 2021, 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 08, 2021 Filed Feb 10, 2021 00:59 UTC
Koppikar UtpalChief Financial Officer
SaleCommon Stock 1,759 $20.39 $35,866.01
Disclosure

SEC source: 0001209191-21-009055 · doc4.xml · nonDerivative · entry 1

Koppikar Utpal · CIK 0001742696 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 130,546

F1 · kind: Represents the number of shares required to be sold by the reporting person to cover tax withholding obligations in connection with the vesting of Restricted Stock Units. This sale is mandated by the Issuer's election under its equity incentive plans to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary trade by the reporting person. The sale is intended to comply with the requirements of Rule 10b5-1(c)(1)(i)(B) under the Exchange Act and be interpreted to meet the requirements of Rule 10b5-1(c).

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 8, 2021 on behalf of a group of employees of the Issuer to satisfy the payment of withholding tax liability of such employees.

F3 · balance_after: Includes 244 shares issued pursuant to the Issuer's Employee Stock Purchase Plan on November 30, 2020.

Read SEC document
February 08, 2021 Filed Feb 10, 2021 00:59 UTC
Newell JoeChief Operations Officer
SaleCommon Stock 3,886 $20.39 $79,235.54
Disclosure

SEC source: 0001209191-21-009054 · doc4.xml · nonDerivative · entry 1

Newell Joe · CIK 0001702457 · Chief Operations Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 105,669

F1 · kind: Represents the number of shares required to be sold by the reporting person to cover tax withholding obligations in connection with the vesting of Restricted Stock Units. This sale is mandated by the Issuer's election under its equity incentive plans to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary trade by the reporting person. The sale is intended to comply with the requirements of Rule 10b5-1(c)(1)(i)(B) under the Exchange Act and be interpreted to meet the requirements of Rule 10b5-1(c).

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 8, 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
January 15, 2021 Filed Jan 19, 2021 21:02 UTC
Newell JoeChief Operations Officer
Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative 354 $0.00 Strike: $12.15 $0.00
Disclosure

SEC source: 0001209191-21-003996 · doc4.xml · derivative · entry 4

Newell Joe · CIK 0001702457 · Chief Operations Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,459

Underlying: Common Stock · 354 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.

Read SEC document
January 15, 2021 Filed Jan 19, 2021 21:02 UTC
Newell JoeChief Operations Officer
Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative 3,146 $0.00 Strike: $12.15 $0.00
Disclosure

SEC source: 0001209191-21-003996 · doc4.xml · derivative · entry 3

Newell Joe · CIK 0001702457 · Chief Operations Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,041

Underlying: Common Stock · 3,146 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.

Read SEC document
January 15, 2021 Filed Jan 19, 2021 21:02 UTC
Newell JoeChief Operations Officer
SaleCommon Stock 7,000 $18.84 $131,880.00
Disclosure

SEC source: 0001209191-21-003996 · doc4.xml · nonDerivative · entry 2

Newell Joe · CIK 0001702457 · Chief Operations Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 109,555

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 $18.36 to $19.125. 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
January 15, 2021 Filed Jan 19, 2021 21:02 UTC
Newell JoeChief Operations Officer
Exercise / conversionCommon Stock 3,500 $12.15 $42,525.00
Disclosure

SEC source: 0001209191-21-003996 · doc4.xml · nonDerivative · entry 1

Newell Joe · CIK 0001702457 · Chief Operations Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 116,555

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
December 16, 2020 Filed Dec 18, 2020 23:35 UTC
Newell JoeChief Operations Officer
Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative 354 $0.00 Strike: $12.15 $0.00
Disclosure

SEC source: 0001209191-20-064504 · doc4.xml · derivative · entry 5

Newell Joe · CIK 0001702457 · Chief Operations Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,813

Underlying: Common Stock · 354 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
December 16, 2020 Filed Dec 18, 2020 23:35 UTC
Newell JoeChief Operations Officer
Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative 3,146 $0.00 Strike: $12.15 $0.00
Disclosure

SEC source: 0001209191-20-064504 · doc4.xml · derivative · entry 4

Newell Joe · CIK 0001702457 · Chief Operations Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,187

Underlying: Common Stock · 3,146 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
December 16, 2020 Filed Dec 18, 2020 23:35 UTC
Newell JoeChief Operations Officer
SaleCommon Stock 3,500 $23.08 $80,780.00
Disclosure

SEC source: 0001209191-20-064504 · doc4.xml · nonDerivative · entry 3

Newell Joe · CIK 0001702457 · Chief Operations Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 113,055

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

Read SEC document
December 16, 2020 Filed Dec 18, 2020 23:35 UTC
Newell JoeChief Operations Officer
SaleCommon Stock 3,500 $23.13 $80,955.00
Disclosure

SEC source: 0001209191-20-064504 · doc4.xml · nonDerivative · entry 2

Newell Joe · CIK 0001702457 · Chief Operations Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 116,555

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

Read SEC document
December 16, 2020 Filed Dec 18, 2020 23:35 UTC
Newell JoeChief Operations Officer
Exercise / conversionCommon Stock 3,500 $12.15 $42,525.00
Disclosure

SEC source: 0001209191-20-064504 · doc4.xml · nonDerivative · entry 1

Newell Joe · CIK 0001702457 · Chief Operations Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 120,055

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
November 17, 2020 Filed Nov 18, 2020 16:07 UTC
Touchon PascalDirector · President and CEO
SaleCommon Stock 4,716 $19.77 $93,254.18
Disclosure

SEC source: 0001209191-20-059044 · doc4.xml · nonDerivative · entry 1

Touchon Pascal · CIK 0001780060 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 255,321

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 17, 2020 on behalf of a group of employees of the Issuer to satisfy the payment of withholding tax liability of such employees.

Read SEC document
November 17, 2020 Filed Nov 18, 2020 21:08 UTC
Koppikar UtpalChief Financial Officer
SaleCommon Stock 1,469 $19.77 $29,048.01
Disclosure

SEC source: 0001209191-20-059047 · doc4.xml · nonDerivative · entry 1

Koppikar Utpal · CIK 0001742696 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 132,061

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 17, 2020 on behalf of a group of employees of the Issuer to satisfy the payment of withholding tax liability of such employees.

Read SEC document
November 17, 2020 Filed Nov 18, 2020 21:07 UTC
Newell JoeChief Operations Officer
SaleCommon Stock 1,648 $19.77 $32,587.55
Disclosure

SEC source: 0001209191-20-059046 · doc4.xml · nonDerivative · entry 1

Newell Joe · CIK 0001702457 · Chief Operations Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 116,555

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 17, 2020 on behalf of a group of employees of the Issuer to satisfy the payment of withholding tax liability of such employees.

Read SEC document
November 13, 2020 Filed Nov 16, 2020 21:19 UTC
Newell JoeChief Operations Officer
Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative 667 $0.00 Strike: $12.15 $0.00
Disclosure

SEC source: 0001209191-20-058464 · doc4.xml · derivative · entry 5

Newell Joe · CIK 0001702457 · Chief Operations Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,333

Underlying: Common Stock · 667 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.

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, 2020, subject to the reporting person's continuous service.

Read SEC document
November 13, 2020 Filed Nov 16, 2020 21:19 UTC
Newell JoeChief Operations Officer
Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative 2,833 $0.00 Strike: $12.15 $0.00
Disclosure

SEC source: 0001209191-20-058464 · doc4.xml · derivative · entry 4

Newell Joe · CIK 0001702457 · Chief Operations Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,167

Underlying: Common Stock · 2,833 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.

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, 2020, subject to the reporting person's continuous service.

Read SEC document
November 13, 2020 Filed Nov 16, 2020 21:19 UTC
Newell JoeChief Operations Officer
SaleCommon Stock 1,300 $19.12 $24,856.00
Disclosure

SEC source: 0001209191-20-058464 · doc4.xml · nonDerivative · entry 3

Newell Joe · CIK 0001702457 · Chief Operations Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 118,203

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

F3 · price: The price in Column 4 is a weighted average sale price. The prices actually received ranged from $18.85 to $19.18. 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
November 13, 2020 Filed Nov 16, 2020 21:19 UTC
Newell JoeChief Operations Officer
SaleCommon Stock 6,200 $18.36 $113,832.00
Disclosure

SEC source: 0001209191-20-058464 · doc4.xml · nonDerivative · entry 2

Newell Joe · CIK 0001702457 · Chief Operations Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 119,503

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 $17.84 to $18.74. 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
November 13, 2020 Filed Nov 16, 2020 21:19 UTC
Newell JoeChief Operations Officer
Exercise / conversionCommon Stock 3,500 $12.15 $42,525.00
Disclosure

SEC source: 0001209191-20-058464 · doc4.xml · nonDerivative · entry 1

Newell Joe · CIK 0001702457 · Chief Operations Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 125,703

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
November 13, 2020 Filed Dec 18, 2020 23:32 UTC Amendment
Newell JoeChief Operations Officer
Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative 2,833 $0.00 Strike: $12.15 $0.00
Disclosure

SEC source: 0001209191-20-064501 · doc4a.xml · derivative · entry 2

Newell Joe · CIK 0001702457 · Chief Operations Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,167

Underlying: Common Stock · 2,833 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
November 13, 2020 Filed Dec 18, 2020 23:32 UTC Amendment
Newell JoeChief Operations Officer
Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative 667 $0.00 Strike: $12.15 $0.00
Disclosure

SEC source: 0001209191-20-064501 · doc4a.xml · derivative · entry 1

Newell Joe · CIK 0001702457 · Chief Operations Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,333

Underlying: Common Stock · 667 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
August 18, 2020 Filed Aug 20, 2020 19:39 UTC
Touchon PascalDirector · President and CEO
SaleCommon Stock 4,807 $12.09 $58,116.63
Disclosure

SEC source: 0001209191-20-047821 · doc4.xml · nonDerivative · entry 1

Touchon Pascal · CIK 0001780060 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 260,037

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 18, 2020 and August 19, 2020 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 18, 2020 Filed Aug 20, 2020 23:38 UTC
Koppikar UtpalChief Financial Officer
SaleCommon Stock 1,496 $12.09 $18,086.64
Disclosure

SEC source: 0001209191-20-047820 · doc4.xml · nonDerivative · entry 1

Koppikar Utpal · CIK 0001742696 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 133,530

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 18, 2020 and August 19, 2020 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 18, 2020 Filed Aug 20, 2020 23:37 UTC
Newell JoeChief Operations Officer
SaleCommon Stock 1,678 $12.09 $20,287.02
Disclosure

SEC source: 0001209191-20-047819 · doc4.xml · nonDerivative · entry 1

Newell Joe · CIK 0001702457 · Chief Operations Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 122,203

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 18, 2020 and August 19, 2020 on behalf of a group of employees of the Issuer to satisfy the payment of withholding tax liability of such employees.

Read SEC document
June 25, 2020 Filed Jun 26, 2020 16:18 UTC
Touchon PascalDirector · President and CEO
SaleCommon Stock 12,135 $12.92 $156,784.20
Disclosure

SEC source: 0001209191-20-039077 · doc4.xml · nonDerivative · entry 1

Touchon Pascal · CIK 0001780060 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 264,844

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.

Read SEC document
June 16, 2020 Filed Jun 18, 2020 01:15 UTC GrantNon-Qualified Stock Option (Right to Buy) · Derivative 24,500 $0.00 Strike: $10.54 $0.00
Disclosure

SEC source: 0001209191-20-037478 · doc4.xml · derivative · entry 6

SEIDENBERG BETH C · CIK 0001184592 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,500

Underlying: Common Stock · 24,500 shares

Expires 2030-06-15

F6 · derivative.exercise_date: The option shall vest on the earlier of June 16, 2021 or the date of the next annual meeting of stockholders, subject to the Reporting Person's continuous service.

Read SEC document
June 16, 2020 Filed Jun 18, 2020 01:15 UTC GrantCommon Stock 8,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-037478 · doc4.xml · nonDerivative · entry 1

SEIDENBERG BETH C · CIK 0001184592 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,189

F1 · shares: These restricted stock units shall vest on the earlier of June 16, 2021 or the date of the next annual meeting of stockholders, subject to the Reporting Person's continuous service.

Read SEC document
June 16, 2020 Filed Jun 17, 2020 21:44 UTC GrantNon-Qualified Stock Option (Right to Buy) · Derivative 24,500 $0.00 Strike: $10.54 $0.00
Disclosure

SEC source: 0001209191-20-037365 · doc4.xml · derivative · entry 2

DOBMEIER ERIC · CIK 0001202785 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,500

Underlying: Common Stock · 24,500 shares

Expires 2030-06-15

F2 · derivative.exercise_date: The option shall vest on the earlier of June 16, 2021 or the date of the next annual meeting of stockholders, subject to the Reporting Person's continuous service.

Read SEC document
June 16, 2020 Filed Jun 17, 2020 21:44 UTC GrantCommon Stock 8,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-037365 · doc4.xml · nonDerivative · entry 1

DOBMEIER ERIC · CIK 0001202785 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,000

F1 · shares: These restricted stock units shall vest on the earlier of June 16, 2021 or the date of the next annual meeting of stockholders, subject to the Reporting Person's continuous service.

Read SEC document
June 16, 2020 Filed Jun 17, 2020 21:46 UTC GrantNon-Qualified Stock Option (Right to Buy) · Derivative 24,500 $0.00 Strike: $10.54 $0.00
Disclosure

SEC source: 0001209191-20-037368 · doc4.xml · derivative · entry 2

HEIDEN WILLIAM K · CIK 0001214939 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,500

Underlying: Common Stock · 24,500 shares

Expires 2030-06-15

F2 · derivative.exercise_date: The option shall vest on the earlier of June 16, 2021 or the date of the next annual meeting of stockholders, subject to the Reporting Person's continuous service.

Read SEC document
June 16, 2020 Filed Jun 17, 2020 21:46 UTC GrantCommon Stock 8,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-037368 · doc4.xml · nonDerivative · entry 1

HEIDEN WILLIAM K · CIK 0001214939 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,500

F1 · shares: These restricted stock units shall vest on the earlier of June 16, 2021 or the date of the next annual meeting of stockholders, subject to the Reporting Person's continuous service.

Read SEC document
June 16, 2020 Filed Jun 17, 2020 21:46 UTC GrantNon-Qualified Stock Option (Right to Buy) · Derivative 24,500 $0.00 Strike: $10.54 $0.00
Disclosure

SEC source: 0001209191-20-037367 · doc4.xml · derivative · entry 2

Gallagher Carol Giltner · CIK 0001329959 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,500

Underlying: Common Stock · 24,500 shares

Expires 2030-06-15

F2 · derivative.exercise_date: The option shall vest on the earlier of June 16, 2021 or the date of the next annual meeting of stockholders, subject to the Reporting Person's continuous service.

Read SEC document
June 16, 2020 Filed Jun 17, 2020 21:46 UTC GrantCommon Stock 8,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-037367 · doc4.xml · nonDerivative · entry 1

Gallagher Carol Giltner · CIK 0001329959 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,818

F1 · shares: These restricted stock units shall vest on the earlier of June 16, 2021 or the date of the next annual meeting of stockholders, subject to the Reporting Person's continuous service.

Read SEC document
June 16, 2020 Filed Jun 17, 2020 21:45 UTC GrantNon-Qualified Stock Option (Right to Buy) · Derivative 24,500 $0.00 Strike: $10.54 $0.00
Disclosure

SEC source: 0001209191-20-037366 · doc4.xml · derivative · entry 2

Fust Matthew K · CIK 0001397266 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,500

Underlying: Common Stock · 24,500 shares

Expires 2030-06-15

F2 · derivative.exercise_date: The option shall vest on the earlier of June 16, 2021 or the date of the next annual meeting of stockholders, subject to the Reporting Person's continuous service.

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June 16, 2020 Filed Jun 17, 2020 21:45 UTC GrantCommon Stock 8,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-037366 · doc4.xml · nonDerivative · entry 1

Fust Matthew K · CIK 0001397266 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,854

F1 · shares: These restricted stock units shall vest on the earlier of June 16, 2021 or the date of the next annual meeting of stockholders, subject to the Reporting Person's continuous service.

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June 16, 2020 Filed Jun 17, 2020 21:43 UTC GrantNon-Qualified Stock Option (Right to Buy) · Derivative 24,500 $0.00 Strike: $10.54 $0.00
Disclosure

SEC source: 0001209191-20-037364 · doc4.xml · derivative · entry 2

Baynes Roy D. · CIK 0001680739 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,500

Underlying: Common Stock · 24,500 shares

Expires 2030-06-15

F2 · derivative.exercise_date: The option shall vest on the earlier of June 16, 2021 or the date of the next annual meeting of stockholders, subject to the Reporting Person's continuous service.

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June 16, 2020 Filed Jun 17, 2020 21:43 UTC GrantCommon Stock 8,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-037364 · doc4.xml · nonDerivative · entry 1

Baynes Roy D. · CIK 0001680739 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,000

F1 · shares: These restricted stock units shall vest on the earlier of June 16, 2021 or the date of the next annual meeting of stockholders, subject to the Reporting Person's continuous service.

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June 09, 2020 Filed Jun 10, 2020 20:05 UTC
Koppikar UtpalChief Financial Officer
SaleCommon Stock 3,924 $10.18 $39,946.32
Disclosure

SEC source: 0001209191-20-035488 · doc4.xml · nonDerivative · entry 1

Koppikar Utpal · CIK 0001742696 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 135,026

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 · balance_after: Includes 1,575 shares issued on May 29, 2020 pursuant to the Issuer's Employee Stock Purchase Plan.

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May 18, 2020 Filed May 20, 2020 18:10 UTC
Touchon PascalDirector · President and CEO
SaleCommon Stock 3,195 $11.22 $35,847.90
Disclosure

SEC source: 0001209191-20-031004 · doc4.xml · nonDerivative · entry 1

Touchon Pascal · CIK 0001780060 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 276,979

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 18, 2020 and May 19, 2020 on behalf of a group of employees of the Issuer to satisfy the payment of withholding tax liability of such employees.

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May 18, 2020 Filed May 20, 2020 22:11 UTC
Newell JoeChief Operations Officer
SaleCommon Stock 1,603 $11.22 $17,985.66
Disclosure

SEC source: 0001209191-20-031007 · doc4.xml · nonDerivative · entry 1

Newell Joe · CIK 0001702457 · Chief Operations Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 123,881

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 18, 2020 and May 19, 2020 on behalf of a group of employees of the Issuer to satisfy the payment of withholding tax liability of such employees.

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May 18, 2020 Filed May 20, 2020 22:11 UTC
Koppikar UtpalChief Financial Officer
SaleCommon Stock 1,428 $11.22 $16,022.16
Disclosure

SEC source: 0001209191-20-031005 · doc4.xml · nonDerivative · entry 1

Koppikar Utpal · CIK 0001742696 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 137,375

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 18, 2020 and May 19, 2020 on behalf of a group of employees of the Issuer to satisfy the payment of withholding tax liability of such employees.

F3 · balance_after: Includes 817 shares issued on May 31, 2019 and 656 shares issued on November 29, 2019 pursuant to the Issuer's Employee Stock Purchase Plan.

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May 14, 2020 Filed May 19, 2020 23:17 UTC
Dupont JakobEVP, Head of R&D
GrantEmployee Stock Option (Right to Buy) · Derivative 277,500 $0.00 Strike: $9.58 $0.00
Disclosure

SEC source: 0001209191-20-030712 · doc4.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 277,500

Underlying: Common Stock · 277,500 shares

Expires 2030-05-13

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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May 14, 2020 Filed May 19, 2020 23:17 UTC
Dupont JakobEVP, Head of R&D
GrantCommon Stock 46,250 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-030712 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,250

F1 · shares: 25% of the shares subject to these restricted stock units ("RSUs") vest on May 15, 2021 and 1/16th of the total number shares subject to the RSUs vest on each of the next 12 Quarterly Vesting Dates (as defined below), 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.

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May 11, 2020 Filed May 12, 2020 16:08 UTC GrantNon-Qualified Stock Option (Right to Buy) · Derivative 59,500 $0.00 Strike: $10.25 $0.00
Disclosure

SEC source: 0001209191-20-028472 · doc4.xml · derivative · entry 1

Roncarolo Maria Grazia · CIK 0001811671 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,500

Underlying: Common Stock · 59,500 shares

Expires 2030-05-10

F1 · derivative.exercise_date: 1/3rd of the shares will vest on the first, second and third anniversaries of the grant date, subject to the Director's Continuous Service (as defined in the Plan).

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April 29, 2020 Filed Apr 30, 2020 23:44 UTC GrantNon-Qualified Stock Option (Right to Buy) · Derivative 71,500 $0.00 Strike: $8.53 $0.00
Disclosure

SEC source: 0001209191-20-026420 · doc4.xml · derivative · entry 1

Renaud Ronald C JR · CIK 0001354434 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,500

Underlying: Common Stock · 71,500 shares

Expires 2030-04-28

F1 · derivative.exercise_date: 1/3rd of the shares will vest on the first, second and third anniversaries of the grant date, subject to the Director's Continuous Service (as defined in the Plan).

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April 20, 2020 Filed Apr 21, 2020 16:17 UTC
Murugan AmarSVP, GC & Secretary
GrantEmployee Stock Option (Right to Buy) · Derivative 110,000 $0.00 Strike: $8.20 $0.00
Disclosure

SEC source: 0001209191-20-025229 · doc4.xml · derivative · entry 2

Murugan Amar · CIK 0001809916 · SVP, GC & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 110,000

Underlying: Common Stock · 110,000 shares

Expires 2030-04-19

F2 · derivative.exercise_date: 25% of the shares subject to the option vest on April 20, 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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April 20, 2020 Filed Apr 21, 2020 16:17 UTC
Murugan AmarSVP, GC & Secretary
GrantCommon Stock 55,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-025229 · doc4.xml · nonDerivative · entry 1

Murugan Amar · CIK 0001809916 · SVP, GC & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,000

F1 · shares: 25% of the shares subject to these restricted stock units ("RSUs") vest on May 15, 2021 and 1/16th of the total number shares subject to the RSUs vest on each of the next 12 Quarterly Vesting Dates (as defined below), 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.

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