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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
April 01, 2019 Filed Apr 3, 2019 23:22 UTC
Newell JoeChief Tech. Operations Officer
SaleCommon Stock 1,500 $39.96 $59,940.00
Disclosure

SEC source: 0001209191-19-023491 · doc4.xml · nonDerivative · entry 2

Newell Joe · CIK 0001702457 · Chief Tech. Operations Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,146

F1 · kind: Transaction pursuant to Rule 10b5-1 Plan adopted May 29, 2018.

F2 · price: The price in Column 4 is a weighted average sale price. The prices actually received ranged from $39.66 to $40.63. 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
April 01, 2019 Filed Apr 3, 2019 23:22 UTC
Newell JoeChief Tech. Operations Officer
Exercise / conversionCommon Stock 1,500 $20.40 $30,600.00
Disclosure

SEC source: 0001209191-19-023491 · doc4.xml · nonDerivative · entry 1

Newell Joe · CIK 0001702457 · Chief Tech. Operations Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,646

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 May 29, 2018.

Read SEC document
March 29, 2019 Filed Apr 1, 2019 16:16 UTC
Ciechanover Isaac E.Director · Chief Executive Officer
SaleCommon Stock 200 $41.70 $8,340.00
Disclosure

SEC source: 0001209191-19-021972 · doc4.xml · nonDerivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 319,937

F1 · kind: Transaction pursuant to Rule 10b5-1 Plan adopted January 23, 2018.

F7 · price: The price in Column 4 is a weighted average sale price. The prices actually received ranged from $41.695 to $41.71. 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
March 29, 2019 Filed Apr 1, 2019 16:16 UTC
Ciechanover Isaac E.Director · Chief Executive Officer
SaleCommon Stock 3,700 $39.81 $147,297.00
Disclosure

SEC source: 0001209191-19-021972 · 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: 320,137

F1 · kind: Transaction pursuant to Rule 10b5-1 Plan adopted January 23, 2018.

F6 · price: The price in Column 4 is a weighted average sale price. The prices actually received ranged from $39.50 to $40.375. 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
March 28, 2019 Filed Apr 1, 2019 16:16 UTC
Ciechanover Isaac E.Director · Chief Executive Officer
SaleCommon Stock 300 $38.59 $11,577.00
Disclosure

SEC source: 0001209191-19-021972 · 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: 323,837

F1 · kind: Transaction pursuant to Rule 10b5-1 Plan adopted January 23, 2018.

F5 · price: The price in Column 4 is a weighted average sale price. The prices actually received ranged from $38.53 to $38.63. 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
March 28, 2019 Filed Apr 1, 2019 16:16 UTC
Ciechanover Isaac E.Director · Chief Executive Officer
SaleCommon Stock 1,600 $38.02 $60,832.00
Disclosure

SEC source: 0001209191-19-021972 · 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: 324,137

F1 · kind: Transaction pursuant to Rule 10b5-1 Plan adopted January 23, 2018.

F4 · price: The price in Column 4 is a weighted average sale price. The prices actually received ranged from $37.50 to $38.35. 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
March 28, 2019 Filed Apr 1, 2019 16:16 UTC
Ciechanover Isaac E.Director · Chief Executive Officer
SaleCommon Stock 2,000 $36.75 $73,500.00
Disclosure

SEC source: 0001209191-19-021972 · 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: 325,737

F1 · kind: Transaction pursuant to Rule 10b5-1 Plan adopted January 23, 2018.

F2 · price: The price in Column 4 is a weighted average sale price. The prices actually received ranged from $36.30 to $37.10. 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
March 26, 2019 Filed Mar 27, 2019 21:17 UTC
Porter DerrellSVP, Head of Global Commercial
GrantCommon Stock 10,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-19-021441 · doc4.xml · nonDerivative · entry 1

Porter Derrell · CIK 0001706400 · SVP, Head of Global Commercial

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,688

F1 · shares: These restricted stock units vest as to 50% of the shares on March 26, 2020 and 50% of the shares on March 26, 2021, subject to the reporting person's continuous service.

Read SEC document
March 26, 2019 Filed Mar 27, 2019 17:18 UTC
Kim MinaSenior VP & General Counsel
GrantCommon Stock 10,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-19-021444 · doc4.xml · nonDerivative · entry 1

Kim Mina · CIK 0001668163 · Senior VP & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,063

F1 · shares: These restricted stock units vest as to 50% of the shares on March 26, 2020 and 50% of the shares on March 26, 2021, subject to the reporting person's continuous service.

Read SEC document
March 26, 2019 Filed Mar 27, 2019 21:17 UTC
Berger DietmarGlobal Head of R&D
GrantCommon Stock 15,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-19-021442 · doc4.xml · nonDerivative · entry 1

Berger Dietmar · CIK 0001739515 · Global Head of R&D

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,000

F1 · shares: These restricted stock units vest as to 50% of the shares on March 26, 2020 and 50% of the shares on March 26, 2021, subject to the reporting person's continuous service.

Read SEC document
March 26, 2019 Filed Mar 27, 2019 21:19 UTC
Koppikar UtpalChief Financial Officer
GrantCommon Stock 10,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-19-021445 · doc4.xml · nonDerivative · entry 1

Koppikar Utpal · CIK 0001742696 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 74,063

F1 · shares: These restricted stock units vest as to 50% of the shares on March 26, 2020 and 50% of the shares on March 26, 2021, subject to the reporting person's continuous service.

Read SEC document
March 26, 2019 Filed Mar 27, 2019 21:18 UTC
Newell JoeChief Tech. Operations Officer
GrantCommon Stock 15,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-19-021443 · doc4.xml · nonDerivative · entry 1

Newell Joe · CIK 0001702457 · Chief Tech. Operations Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,146

F1 · shares: These restricted stock units vest as to 50% of the shares on March 26, 2020 and 50% of the shares on March 26, 2021, subject to the reporting person's continuous service.

Read SEC document
March 15, 2019 Filed Mar 18, 2019 16:13 UTC
Ciechanover Isaac E.Director · Chief Executive Officer
SaleCommon Stock 3,900 $38.73 $151,047.00
Disclosure

SEC source: 0001209191-19-019979 · 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: 327,737

F1 · kind: Transaction pursuant to Rule 10b5-1 Plan adopted January 23, 2018.

F5 · price: The price in Column 4 is a weighted average sale price. The prices actually received ranged from $38.15 to $39.14. 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
March 15, 2019 Filed Mar 19, 2019 20:19 UTC SaleCommon Stock 20,000 $38.25 $765,000.00
Disclosure

SEC source: 0001209191-19-020276 · doc4.xml · nonDerivative · entry 1

MARCUS JOEL S · CIK 0001216955 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 888,355

F1 · price: The price in Column 4 is a weighted average sale price. The prices actually received ranged from $38.10 to $38.56. 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.

F2 · ownership.nature: Consists of shares of common stock held by Alexandria Equities, LLC. Mr. Marcus is the Chairman, CEO and Founder of Alexandria Real Estate Equities, Inc., which is the managing member of Alexandria Equities, LLC, which has full voting and investment power with respect to the shares owned by Alexandria Equities, LLC. As an officer of Alexandria Real Estate Equities, Inc., Mr. Marcus may be deemed to have voting and investment power with respect to the shares owned by Alexandria Equities, LLC. Mr. Marcus disclaims beneficial ownership of the shares held by Alexandria Equities, LLC, except to the extent of his underlying pecuniary interest therein.

Read SEC document
March 14, 2019 Filed Mar 18, 2019 16:13 UTC
Ciechanover Isaac E.Director · Chief Executive Officer
SaleCommon Stock 3,200 $40.48 $129,536.00
Disclosure

SEC source: 0001209191-19-019979 · 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: 331,637

F1 · kind: Transaction pursuant to Rule 10b5-1 Plan adopted January 23, 2018.

F4 · price: The price in Column 4 is a weighted average sale price. The prices actually received ranged from $40.02 to $40.89. 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
March 14, 2019 Filed Mar 18, 2019 16:13 UTC
Ciechanover Isaac E.Director · Chief Executive Officer
SaleCommon Stock 700 $39.10 $27,370.00
Disclosure

SEC source: 0001209191-19-019979 · 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: 334,837

F1 · kind: Transaction pursuant to Rule 10b5-1 Plan adopted January 23, 2018.

F2 · price: The price in Column 4 is a weighted average sale price. The prices actually received ranged from $38.92 to $39.39. 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
March 01, 2019 Filed Mar 5, 2019 23:58 UTC
Newell JoeChief Tech. Operations Officer
Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative 1,500 $0.00 Strike: $20.40 $0.00
Disclosure

SEC source: 0001209191-19-017038 · doc4.xml · derivative · entry 4

Newell Joe · CIK 0001702457 · Chief Tech. Operations Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 68,000

Underlying: Common Stock · 1,500 shares

Expires 2024-04-03

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 May 29, 2018.

F4 · derivative.exercise_date: 25% of the shares shall vest one year from April 3, 2017, and the remaining shares shall vest in 36 equal monthly installment thereafter, subject to the reporting person's continuous service.

Read SEC document
March 01, 2019 Filed Mar 5, 2019 23:58 UTC
Newell JoeChief Tech. Operations Officer
SaleCommon Stock 200 $36.75 $7,350.00
Disclosure

SEC source: 0001209191-19-017038 · doc4.xml · nonDerivative · entry 3

Newell Joe · CIK 0001702457 · Chief Tech. Operations Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,146

F1 · kind: Transaction pursuant to Rule 10b5-1 Plan adopted May 29, 2018.

F3 · price: The price in Column 4 is a weighted average sale price. The prices actually received ranged from $36.66 to $36.84. 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
March 01, 2019 Filed Mar 5, 2019 23:58 UTC
Newell JoeChief Tech. Operations Officer
SaleCommon Stock 1,300 $36.04 $46,852.00
Disclosure

SEC source: 0001209191-19-017038 · doc4.xml · nonDerivative · entry 2

Newell Joe · CIK 0001702457 · Chief Tech. Operations Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,346

F1 · kind: Transaction pursuant to Rule 10b5-1 Plan adopted May 29, 2018.

F2 · price: The price in Column 4 is a weighted average sale price. The prices actually received ranged from $35.56 to $36.43. 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
March 01, 2019 Filed Mar 5, 2019 23:58 UTC
Newell JoeChief Tech. Operations Officer
Exercise / conversionCommon Stock 1,500 $20.40 $30,600.00
Disclosure

SEC source: 0001209191-19-017038 · doc4.xml · nonDerivative · entry 1

Newell Joe · CIK 0001702457 · Chief Tech. Operations Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,646

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 May 29, 2018.

Read SEC document
February 28, 2019 Filed Mar 1, 2019 16:10 UTC
Ciechanover Isaac E.Director · Chief Executive Officer
SaleCommon Stock 3,900 $36.13 $140,907.00
Disclosure

SEC source: 0001209191-19-014944 · 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: 335,537

F1 · kind: Transaction pursuant to Rule 10b5-1 Plan adopted January 23, 2018.

F5 · price: The price in Column 4 is a weighted average sale price. The prices actually received ranged from $35.80 to $36.71. 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
February 28, 2019 Filed Mar 1, 2019 21:09 UTC SaleCommon Stock 62,590 $36.07 $2,257,621.30
Disclosure

SEC source: 0001209191-19-014941 · doc4.xml · nonDerivative · entry 5

MARCUS JOEL S · CIK 0001216955 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,500

F1 · price: The price in Column 4 is a weighted average sale price. The prices actually received ranged from $35.75 to $36.72. 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
February 27, 2019 Filed Mar 1, 2019 16:10 UTC
Ciechanover Isaac E.Director · Chief Executive Officer
SaleCommon Stock 3,700 $36.20 $133,940.00
Disclosure

SEC source: 0001209191-19-014944 · 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: 339,437

F1 · kind: Transaction pursuant to Rule 10b5-1 Plan adopted January 23, 2018.

F4 · price: The price in Column 4 is a weighted average sale price. The prices actually received ranged from $35.98 to $36.46. 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
February 27, 2019 Filed Mar 1, 2019 16:10 UTC
Ciechanover Isaac E.Director · Chief Executive Officer
SaleCommon Stock 200 $35.22 $7,044.00
Disclosure

SEC source: 0001209191-19-014944 · 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: 343,137

F1 · kind: Transaction pursuant to Rule 10b5-1 Plan adopted January 23, 2018.

F2 · price: The price in Column 4 is a weighted average sale price. The prices actually received ranged from $34.87 to $35.56. 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
February 27, 2019 Filed Mar 1, 2019 21:09 UTC Exercise / conversionNon-Qualified Stock Option (Right to Buy) · Derivative 21,500 $0.00 Strike: $13.20 $0.00
Disclosure

SEC source: 0001209191-19-014941 · doc4.xml · derivative · entry 11

MARCUS JOEL S · CIK 0001216955 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 21,500 shares

Expires 2024-06-08

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_date: Fully vested.

Read SEC document
February 27, 2019 Filed Mar 1, 2019 21:09 UTC Exercise / conversionNon-Qualified Stock Option (Right to Buy) · Derivative 5,500 $0.00 Strike: $15.08 $0.00
Disclosure

SEC source: 0001209191-19-014941 · doc4.xml · derivative · entry 10

MARCUS JOEL S · CIK 0001216955 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,500 shares

Expires 2024-01-03

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_date: Fully vested.

Read SEC document
February 27, 2019 Filed Mar 1, 2019 21:09 UTC Exercise / conversionNon-Qualified Stock Option (Right to Buy) · Derivative 10,500 $0.00 Strike: $24.05 $0.00
Disclosure

SEC source: 0001209191-19-014941 · doc4.xml · derivative · entry 9

MARCUS JOEL S · CIK 0001216955 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 10,500 shares

Expires 2023-01-04

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_date: Fully vested.

Read SEC document
February 27, 2019 Filed Mar 1, 2019 21:09 UTC Exercise / conversionNon-Qualified Stock Option (Right to Buy) · Derivative 25,000 $0.00 Strike: $25.15 $0.00
Disclosure

SEC source: 0001209191-19-014941 · doc4.xml · derivative · entry 8

MARCUS JOEL S · CIK 0001216955 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 25,000 shares

Expires 2022-01-16

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_date: Fully vested.

Read SEC document
February 27, 2019 Filed Mar 1, 2019 21:09 UTC Exercise / conversionCommon Stock 21,500 $13.20 $283,800.00
Disclosure

SEC source: 0001209191-19-014941 · doc4.xml · nonDerivative · entry 4

MARCUS JOEL S · CIK 0001216955 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,090

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.

Read SEC document
February 27, 2019 Filed Mar 1, 2019 21:09 UTC Exercise / conversionCommon Stock 5,500 $15.08 $82,940.00
Disclosure

SEC source: 0001209191-19-014941 · doc4.xml · nonDerivative · entry 3

MARCUS JOEL S · CIK 0001216955 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,590

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.

Read SEC document
February 27, 2019 Filed Mar 1, 2019 21:09 UTC Exercise / conversionCommon Stock 10,500 $24.05 $252,525.00
Disclosure

SEC source: 0001209191-19-014941 · doc4.xml · nonDerivative · entry 2

MARCUS JOEL S · CIK 0001216955 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,090

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.

Read SEC document
February 27, 2019 Filed Mar 1, 2019 21:09 UTC Exercise / conversionCommon Stock 25,000 $25.15 $628,750.00
Disclosure

SEC source: 0001209191-19-014941 · doc4.xml · nonDerivative · entry 1

MARCUS JOEL S · CIK 0001216955 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,590

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.

Read SEC document
February 15, 2019 Filed Feb 19, 2019 22:05 UTC
Porter DerrellSVP, Head of Global Commercial
Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative 4,000 $0.00 Strike: $14.30 $0.00
Disclosure

SEC source: 0001209191-19-011175 · doc4.xml · derivative · entry 3

Porter Derrell · CIK 0001706400 · SVP, Head of Global Commercial

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 109,666

Underlying: Common Stock · 4,000 shares

Expires 2024-05-10

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 November 9, 2018.

F2 · derivative.exercise_date: 25% of the shares subject to the option vest and become exercisable on May 10, 2018 and 1/48th of the shares subject to the stock option vest and become exercisable each full month thereafter.

Read SEC document
February 15, 2019 Filed Feb 19, 2019 22:05 UTC
Porter DerrellSVP, Head of Global Commercial
SaleCommon Stock 5,909 $40.00 $236,360.00
Disclosure

SEC source: 0001209191-19-011175 · doc4.xml · nonDerivative · entry 2

Porter Derrell · CIK 0001706400 · SVP, Head of Global Commercial

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,688

F1 · kind: Transaction pursuant to Rule 10b5-1 Plan adopted November 9, 2018.

Read SEC document
February 15, 2019 Filed Feb 19, 2019 22:05 UTC
Porter DerrellSVP, Head of Global Commercial
Exercise / conversionCommon Stock 4,000 $14.30 $57,200.00
Disclosure

SEC source: 0001209191-19-011175 · doc4.xml · nonDerivative · entry 1

Porter Derrell · CIK 0001706400 · SVP, Head of Global Commercial

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,597

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 November 9, 2018.

Read SEC document
February 15, 2019 Filed Feb 19, 2019 22:08 UTC
Haqq ChristopherEVP, R&D & Chief Scientific Of
SaleCommon Stock 775 $39.59 $30,682.25
Disclosure

SEC source: 0001209191-19-011187 · 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: 271,943

F1 · kind: Transaction pursuant to Rule 10b5-1 Plan adopted January 25, 2018.

F2 · price: The price in Column 4 is a weighted average sale price. The prices actually received ranged from $39.33 to $39.695. 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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February 15, 2019 Filed Feb 19, 2019 17:06 UTC
Ciechanover Isaac E.Director · Chief Executive Officer
Tax withholdingCommon Stock 1,176 $40.45 $47,569.20
Disclosure

SEC source: 0001209191-19-011179 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 332,243

F1 · kind: Shares withheld to cover tax obligation from settlement of vested restricted stock units.

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February 12, 2019 Filed Feb 12, 2019 19:18 UTC
Ciechanover Isaac E.Director · Chief Executive Officer
SaleCommon Stock 3,900 $39.01 $152,139.00
Disclosure

SEC source: 0001209191-19-009508 · 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: 342,138

F2 · kind: Transaction pursuant to Rule 10b5-1 Plan adopted January 23, 2018.

F5 · price: The price in Column 4 is a weighted average sale price. The prices actually received ranged from $38.75 to $39.24. 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.

F4 · 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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February 11, 2019 Filed Feb 12, 2019 00:10 UTC
Haqq ChristopherEVP, R&D & Chief Scientific Of
SaleCommon Stock 13,975 $38.55 $538,736.25
Disclosure

SEC source: 0001209191-19-009116 · 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: 272,718

F1 · kind: Transaction pursuant to Rule 10b5-1 Plan adopted January 25, 2018.

F2 · price: The price in Column 4 is a weighted average sale price. The prices actually received ranged from $38.27 to $38.55. 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.

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February 11, 2019 Filed Feb 12, 2019 19:18 UTC
Ciechanover Isaac E.Director · Chief Executive Officer
SaleCommon Stock 3,900 $38.52 $150,228.00
Disclosure

SEC source: 0001209191-19-009508 · 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: 346,038

F2 · kind: Transaction pursuant to Rule 10b5-1 Plan adopted January 23, 2018.

F3 · price: The price in Column 4 is a weighted average sale price. The prices actually received ranged from $38.12 to $39.07. 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.

F4 · 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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February 09, 2019 Filed Feb 12, 2019 19:18 UTC
Ciechanover Isaac E.Director · Chief Executive Officer
Tax withholdingCommon Stock 20,324 $38.49 $782,270.76
Disclosure

SEC source: 0001209191-19-009508 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 334,618

F1 · kind: Shares withheld to cover tax obligation from settlement of vested restricted stock units.

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February 06, 2019 Filed Feb 8, 2019 21:23 UTC
Porter DerrellSVP, Head of Global Commercial
GrantEmployee Stock Option (Right to Buy) · Derivative 24,625 $0.00 Strike: $38.47 $0.00
Disclosure

SEC source: 0001209191-19-008508 · doc4.xml · derivative · entry 3

Porter Derrell · CIK 0001706400 · SVP, Head of Global Commercial

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,625

Underlying: Common Stock · 24,625 shares

Expires 2029-02-05

F3 · derivative.exercise_date: 1/48th of the shares subject to the stock option vest and become exercisable each month following February 6, 2019, subject to the reporting person's continuous service.

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February 06, 2019 Filed Feb 8, 2019 21:23 UTC
Porter DerrellSVP, Head of Global Commercial
GrantCommon Stock 12,313 $0.00 $0.00
Disclosure

SEC source: 0001209191-19-008508 · doc4.xml · nonDerivative · entry 2

Porter Derrell · CIK 0001706400 · SVP, Head of Global Commercial

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,597

F2 · shares: These restricted stock units vest in four equal annual installments on each of the first, second, third and fourth anniversaries of the grant date, subject to the reporting person's continuous service.

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February 06, 2019 Filed Feb 8, 2019 21:23 UTC
Porter DerrellSVP, Head of Global Commercial
Tax withholdingCommon Stock 1,216 $38.47 $46,779.52
Disclosure

SEC source: 0001209191-19-008508 · doc4.xml · nonDerivative · entry 1

Porter Derrell · CIK 0001706400 · SVP, Head of Global Commercial

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,284

F1 · kind: Shares withheld to cover tax obligation from settlement of vested restricted stock units.

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February 06, 2019 Filed Feb 8, 2019 16:25 UTC
Kim MinaSenior VP & General Counsel
GrantEmployee Stock Option (Right to Buy) · Derivative 34,125 $0.00 Strike: $38.47 $0.00
Disclosure

SEC source: 0001209191-19-008514 · doc4.xml · derivative · entry 2

Kim Mina · CIK 0001668163 · Senior VP & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,125

Underlying: Common Stock · 34,125 shares

Expires 2029-02-05

F3 · derivative.exercise_date: 1/48th of the shares subject to the stock option vest and become exercisable each month following February 6, 2019, subject to the reporting person's continuous service..

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February 06, 2019 Filed Feb 8, 2019 16:25 UTC
Kim MinaSenior VP & General Counsel
GrantCommon Stock 17,063 $0.00 $0.00
Disclosure

SEC source: 0001209191-19-008514 · doc4.xml · nonDerivative · entry 1

Kim Mina · CIK 0001668163 · Senior VP & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,063

F1 · shares: These restricted stock units vest in four equal annual installments on each of the first, second, third and fourth anniversaries of the grant date, subject to the reporting person's continuous service.

F2 · balance_after: Includes 500 shares purchased on November 30, 2018 pursuant to the Issuer's Employee Stock Purchase Plan.

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February 06, 2019 Filed Feb 8, 2019 21:28 UTC
Haqq ChristopherEVP, R&D & Chief Scientific Of
GrantEmployee Stock Option (Right to Buy) · Derivative 30,000 $0.00 Strike: $38.47 $0.00
Disclosure

SEC source: 0001209191-19-008526 · doc4.xml · derivative · entry 7

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2029-02-05

F8 · derivative.exercise_date: 1/48th of the shares subject to the stock option vest and become exercisable each month following February 6, 2019, subject to the reporting person's continuous service.

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February 06, 2019 Filed Feb 8, 2019 21:28 UTC
Haqq ChristopherEVP, R&D & Chief Scientific Of
GrantCommon Stock 15,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-19-008526 · doc4.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 286,693

F5 · shares: These restricted stock units vest in four equal annual installments on each of the first, second, third and fourth anniversaries of the grant date, subject to the reporting person's continuous service.

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February 06, 2019 Filed Feb 8, 2019 21:28 UTC
Haqq ChristopherEVP, R&D & Chief Scientific Of
Tax withholdingCommon Stock 1,512 $38.47 $58,166.64
Disclosure

SEC source: 0001209191-19-008526 · doc4.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 271,693

F4 · kind: Shares withheld to cover tax obligation from settlement of vested restricted stock units.

Read SEC document
February 06, 2019 Filed Feb 8, 2019 21:28 UTC
Haqq ChristopherEVP, R&D & Chief Scientific Of
SaleCommon Stock 9,698 $38.78 $376,088.44
Disclosure

SEC source: 0001209191-19-008526 · 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: 273,205

F1 · kind: Transaction pursuant to Rule 10b5-1 Plan adopted January 25, 2018.

F3 · price: The price in Column 4 is a weighted average sale price. The prices actually received ranged from $38.67 to $38.89. 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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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.