Atara Biotherapeutics Inc
For the period ended Dec 31, 2023. Filed Mar 28, 2024.
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A company's yearly report to the SEC, with audited financial statements. It is the fullest account a company gives of its business, its finances and the risks it sees.
FY2023 · Filed Mar 28, 2024
ATRA$8.10-1.0%Stored close · as of Nov 10, 2026
Extracted filing text, with the paragraph anchors used by the comparison.
See the whole filing, with its images and exhibitsContents
Item 15. Exhibits, Financial Statement Schedules
Item 15. Exhibits and Finan cial Statement Schedules
(a)(1) Financial Statements.
The response to this portion of Item 15 is set forth under Item 8 above.
(a)(2) Financial Statement Schedules.
All schedules have been omitted because they are not required or because the required information is given in the financial statements or notes thereto set forth under Item 8 above.
(a)(3) Exhibits.
EXHIBIT INDEX
| Exhibit · Incorporated by Reference · Filed | ||||
|---|---|---|---|---|
| Number · Exhibit Description · Form · Exhibit · Filing Date · Herewith | ||||
| 3.1 | Amended and Restated Certificate of Incorporation of Atara Biotherapeutics, Inc. | S-1 | 3.2 | 06/20/2014 |
| 3.2 | Second Amended and Restated Bylaws of Atara Biotherapeutics, Inc. | 8-K | 3.1 | 09/27/2022 |
| 4.1 | Form of Common Stock Certificate | S-1/A | 4.1 | 07/10/2014 |
| 4.2 | Form of 2019 Pre-Funded Warrant | 8-K | 4.1 | 07/22/2019 |
| 4.3 | Form of May 2020 Pre-Funded Warrant | 8-K | 4.1 | 05/28/2020 |
| 4.4 | Form of December 2020 Pre-Funded Warrant | 8-K | 4.1 | 12/09/2020 |
| 4.5 | Description of Securities | 10-K | 4.4 | 02/27/2020 |
| 10.1* | Amended and Restated 2014 Equity Incentive Plan | 10-Q | 10.2 | 08/08/2016 |
| 10.2* | Forms of Option Agreement and Option Grant Notice under the 2014 Equity Incentive Plan | S-1 | 10.2 | 06/20/2014 |
| 10.3* | Form of Restricted Stock Unit Agreement and Restricted Stock Unit Grant Notice | 10-Q | 10.2 | 11/01/2023 |
| 10.4* | 2014 Employee Stock Purchase Plan | S-1/A | 10.8 | 07/10/2014 |
| 10.5* | Atara Biotherapeutics, Inc. Third Amended and Restated 2018 Inducement Plan | S-8 | 4.3 | 07/22/2022 |
| 10.6* | Form of Restricted Stock Unit Agreement and Restricted Stock Unit Grant Notice under the Inducement Plan | 10-Q | 10.2 | 11/07/2019 |
| 10.7* | Form of Stock Option Agreement and Stock Option Grant Notice under the Inducement Plan | 10-Q | 10.3 | 05/08/2018 |
| 10.8* | Forms of Inducement Grant Notice and Inducement Grant Agreement | 10-Q | 10.3 | 08/07/2017 |
| 10.9* | Form of Indemnification Agreement made by and between Atara Biotherapeutics, Inc. and each of its directors and executive officers | S-1 | 10.9 | 06/20/2014 |
| 10.10* | Form of Atara Biotherapeutics, Inc. Executive Employment Agreement | 10-K | 10.39 | 02/28/2022 |
| 10.11* | Executive Employment Agreement, dated May 23, 2019, by and between Pascal Touchon and Atara Biotherapeutics, Inc. | 8-K | 10.1 | 05/28/2019 |
| 10.12† | Exclusive License Agreement, by and between Atara Biotherapeutics, Inc. and Memorial Sloan Kettering Cancer Center, dated as of June 12, 2015 | S-1 | 10.30 | 06/29/2015 |
| 10.13† | Amendment No. 1 to the Exclusive License Agreement, by and between Atara Biotherapeutics, Inc. and Memorial Sloan Kettering Cancer Center, dated as of August 30, 2018 | 10-K | 10.14 | 02/26/2019 |
| 10.14 | Office Lease, by and between BXP 611 Gateway Center LP and Atara Biotherapeutics, Inc., dated as of December 9, 2015 | 10-K | 10.29 | 03/04/2016 |
| 10.15 | First Amendment to Lease, by and between BXP 611 Gateway Center LP and Atara Biotherapeutics, Inc., dated October 21, 2020 | 10-Q | 10.4 | 11/09/2020 |
| 10.16 | Second Amendment to Lease, by and between Atara Biotherapeutics, Inc. and 611 Gateway Center LP, LLC, dated December 9, 2021 | 10-K | 10.36 | 02/28/2022 |
| Exhibit · Incorporated by Reference · Filed | |||||
|---|---|---|---|---|---|
| Number | Exhibit Description | Form | Exhibit | Filing Date | Herewith |
| 10.17 | Standard Industrial Lease by and between Thousand Oaks Industrial Portfolio, LLC and Atara Biotherapeutics, Inc. dated February 6, 2017 | 10-Q | 10.1 | 05/04/2017 | |
| 10.18 | Lease Agreement between LA Region No. 2, LLC and Atara Biotherapeutics, Inc. dated March 17, 2021 | 10-Q | 10.2 | 05/04/2021 | |
| 10.19 | First Amended and Restated Exclusive License Agreement by and between Atara Biotherapeutics, Inc. and Memorial Sloan Kettering Cancer Center, dated March 22, 2021 | 10-Q | 10.3 | 05/04/2021 | |
| 10.20 | Fourth Amended and Restated Research and Development Collaboration Agreement between Atara Biotherapeutics, Inc. and the Counsel of the Queensland Institute of Medical Research, dated December 17, 2021 | 10-K | 10.37 | 02/28/2022 | |
| 10.21 | Fourth Amended and Restated Exclusive License Agreement between Atara Biotherapeutics, Inc. and the Counsel of the Queensland Institute of Medical Research, dated December 17, 2021 | 10-K | 10.38 | 02/28/2022 | |
| 10.22 | Asset Purchase Agreement, dated as of January 26, 2022, by and between Atara Biotherapeutics, Inc., FUJIFILM Diosynth Biotechnologies California, Inc., and certain limited purposes, FUJIFILM Holdings America Corporation | 8-K | 2.1 | 04/04/2022 | |
| 10.23 | Master Services and Supply Agreement dated as of January 26, 2022 by and between Atara Biotherapeutics, Inc., and FUJIFILM Diosynth Biotechnologies California, Inc. | 10-Q | 10.1 | 05/05/2022 | |
| 10.24+ | Purchase and Sale Agreement between Atara Biotherapeutics, Inc., and HCR Molag Fund, L.P., dated December 20, 2022 | 10-K | 10.46 | 02/08/2023 | |
| 10.25 | Amendment No. 2 to Commercial Manufacturing Services Agreement dated as of May 31, 2022 by and between Atara Biotherapeutics, Inc. and Charles River Laboratories, Inc. | 10-Q | 10.1 | 08/08/2022 | |
| 10.26+ | Amendment No. 3 to Commercial Manufacturing Services Agreement dated as of August 1, 2022 by and between Atara Biotherapeutics, Inc. and Charles River Laboratories, Inc. | 10-Q | 10.1 | 11/08/2022 | |
| 10.27+ | Amendment No. 4 to Commercial Manufacturing Services Agreement between Atara Biotherapeutics, Inc. and Charles River Laboratories, Inc. dated January 30, 2023 | 10-Q | 10.1 | 05/08/2023 | |
| 10.28+ | Amendment No. 5 to Commercial Manufacturing Services Agreement between Atara Biotherapeutics, Inc. and Charles River Laboratories, Inc. dated September 27, 2023 | 10-Q | 10.1 | 11/01/2023 | |
| 10.29+ | Amendment No. 6 to Commercial Manufacturing Services Agreement between Atara Biotherapeutics, Inc. and Charles River Laboratories, Inc. dated December 30, 2023 | X | |||
| 10.30+ | Amendment No. 7 to Commercial Manufacturing Services Agreement between Atara Biotherapeutics, Inc. and Charles River Laboratories, Inc. dated January 31, 2024 | X | |||
| 10.31+ | Amended and Restated Commercialization Agreement by and between Atara Biotherapeutics, Inc. and Pierre Fabre Medicament dated October 31, 2023 | X | |||
| 21.1 | List of Subsidiaries | X | |||
| 23.1 | Consent of Independent Registered Public Accounting Firm | X | |||
| 24.1 | Power of Attorney (included on signature page) | ||||
| Exhibit | Incorporated by Reference | Filed | ||||
| Number | Exhibit Description | Form | Exhibit | Filing Date | Herewith | |
| 31.1 | Certification of the Chief Executive Officer pursuant to Rules 13A-14A and 15D-14A of the Securities Exchange Act of 1934, as amended, as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 | X | ||||
| 31.2 | Certification of the Chief Financial Officer pursuant to Rules 13A-14A and 15D-14A of the Securities Exchange Act of 1934, as amended, as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 | X | ||||
| 32.1(1) | Certifications of Chief Executive Officer and Chief Financial Officer pursuant to 18 U.S.C Section 1350 as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 | X | ||||
| 97.1 | Incentive Compensation Recoupment Policy | X | ||||
| 101.INS | Inline XBRL Instance Document – the instance document does not appear in the Interactive Data File because its XBRL tags are embedded within the Inline XBRL document | X | ||||
| 101.SCH | Inline XBRL Taxonomy Extension Schema Document | X | ||||
| 101.CAL | Inline XBRL Taxonomy Extension Calculation Linkbase Document | X | ||||
| 101.DEF | Inline XBRL Taxonomy Extension Definition Linkbase Document | X | ||||
| 101.LAB | Inline XBRL Taxonomy Extension Label Linkbase Document | X | ||||
| 101.PRE | Inline XBRL Taxonomy Extension Presentation Linkbase Document | X | ||||
| 104 | Cover Page Interactive Data File (embedded within the Inline XBRL document) | X | ||||
† Confidential treatment has been granted for a portion of this exhibit.
- Portions of this exhibit have been omitted as being both (i) not material and (ii) would likely cause competitive harm if publicly disclosed.
- Indicates management contract or compensatory plan or arrangement.
(1)
The certifications attached as Exhibit 32.1 accompany this Annual Report on Form 10-K pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002, and shall not be deemed “filed” by the Registrant for purposes of Section 18 of the Securities Exchange Act of 1934, as amended.
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