Form 4 for ATRA Atara Biotherapeutics, Inc.

Accepted 2025-05-16 00:00:00 ET · period of report 2025-05-16 · accession 0001104659-25-050116 · SEC index · Original document

Summary rows

Aggregated the way they appear in lists: one row per insider, transaction code and security table.

X	Filed	Traded	Ticker	Insider	Title	Type	Price	Qty	Owned	ΔOwn	Value
D	2025-05-16	2025-05-16	ATRA	Adiumentum Capital Fund I GP LLC	Dir, 10%, See remarks	A - Grant	$6.61	+75.6K	1.21M	+7%	+$499.5K
D	2025-05-16	2025-05-16	ATRA	Adiumentum Capital Fund I GP LLC	Dir, 10%, See remarks	A - Grant	$6.61	+227.0K	377.2K	+151%	+$1.50M

Purchase Sale Sale after option exercise All abbreviations

Every reported transaction

#	Table	Security	Date	Code	A/D	Shares	Price	Owned after	Own	Exercise / expiry	Underlying	Footnotes
1	Common	Common Stock	2025-05-16	A	A	75,572	$6.61	1,209,395	D	—	—	(F1) In addition to Adiumentum Capital Fund I LP, a limited partnership organized under the laws of Delaware ("Adiumentum"), this Form 4 is being filed jointly by Adiumentum Capital Fund I GP LLC, a limited liability company organized under the laws of Delaware and the general partner of Adiumentum ("Adiumentum GP"), and Gregory A. Ciongoli, a citizen of the United States of America and the managing member of Adiumentum GP (together with Adiumentum and Adiumentum GP, the "Reporting Persons"). Each of the Reporting Persons has the same business address as Adiumentum and may be deemed to have a pecuniary interest in securities reported on this Form 4 (the "Subject Securities"). Each of the Reporting Persons disclaims any beneficial ownership of any of the Subject Securities, except to the extent of any pecuniary interest therein. (F2) Adiumentum may be deemed to have the shared power to vote or direct the vote of (and the shared power to dispose or direct the disposition of) all of the Subject Securities. Adiumentum GP, as the general partner of Adiumentum may be deemed to have the shared power to vote or direct the vote of (and the shared power to dispose or direct the disposition of) all the Subject Securities. Mr. Ciongoli, as the managing partner of Adiumentum, and as the managing member of Adiumentum GP, may be deemed to have the shared power to vote or direct the vote of (and the shared power to dispose or direct the disposition of) all the Subject Securities.
2	Derivative	Warrants (right to buy)	2025-05-16	A	A	227,000	$6.61	377,193	D	$0.00 · — to —	— Common Stock	(F4) Pursuant to the terms of the warrants, the Issuer may not effect any exercise of any warrant, and a holder of a warrant does not have the right to exercise any portion of the warrant held by such holder, to the extent that, after giving effect to the attempted exercise set forth in a notice of exercise, such holder, together with such holder's affiliates and any other person whose beneficial ownership of common stock, par value $0.0001 per share (the "Common Stock"), of the Issuer would be aggregated with such holder's for the purposes of Section 13(d) of the Exchange Act, and the applicable regulations of the U.S. Securities and Exchange Commission (the "SEC"), including any "group" of which such holder is a member, would beneficially own a number of shares of Common Stock in excess of the Beneficial Ownership Limitation. (F5) The "Beneficial Ownership Limitation" is 19.99% of the shares of Common Stock then issued and outstanding, which percentage may be changed at a holder's election upon 61 days' notice to the Issuer. (F1) In addition to Adiumentum Capital Fund I LP, a limited partnership organized under the laws of Delaware ("Adiumentum"), this Form 4 is being filed jointly by Adiumentum Capital Fund I GP LLC, a limited liability company organized under the laws of Delaware and the general partner of Adiumentum ("Adiumentum GP"), and Gregory A. Ciongoli, a citizen of the United States of America and the managing member of Adiumentum GP (together with Adiumentum and Adiumentum GP, the "Reporting Persons"). Each of the Reporting Persons has the same business address as Adiumentum and may be deemed to have a pecuniary interest in securities reported on this Form 4 (the "Subject Securities"). Each of the Reporting Persons disclaims any beneficial ownership of any of the Subject Securities, except to the extent of any pecuniary interest therein. (F2) Adiumentum may be deemed to have the shared power to vote or direct the vote of (and the shared power to dispose or direct the disposition of) all of the Subject Securities. Adiumentum GP, as the general partner of Adiumentum may be deemed to have the shared power to vote or direct the vote of (and the shared power to dispose or direct the disposition of) all the Subject Securities. Mr. Ciongoli, as the managing partner of Adiumentum, and as the managing member of Adiumentum GP, may be deemed to have the shared power to vote or direct the vote of (and the shared power to dispose or direct the disposition of) all the Subject Securities. (F3) The warrants are immediately exercisable and do not expire.