SC 13G/A: Atara Biotherapeutics, Inc.

AI Summary

SC 13G/A filing by Atara Biotherapeutics, Inc..

Risk Assessment

Risk Level: low

FAQ

Key Financial Figures

• $0.0001 — me of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securiti

Filing Documents

• tm2423722d1_sc13ga.htm (SC 13G/A) — 82KB
• tm2423722d1_ex99-1.htm (EX-99.1) — 7KB
• 0001104659-24-099749.txt ( ) — 90KB

From the Filing

SC 13G/A 1 tm2423722d1_sc13ga.htm SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 9) Atara Biotherapeutics, Inc. (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 046513107 (CUSIP Number) September 3, 2024 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: ¨ Rule 13d-1(b) x Rule 13d-1(c) ¨ Rule 13d-1(d) * The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. The information required in the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). CUSIP No. 046513107 1 Name of Reporting Person Redmile Group, LLC 2 Check the Appropriate Box if a Member of a Group (See Instructions) (a) ¨ (b) ¨ 3 SEC Use Only 4 Citizenship or Place of Organization Delaware number of shares beneficially owned by each reporting person with 5 Sole Voting Power 0 6 Shared Voting Power 579,541 ( 1 ) 7 S ole Dispositive Power 0 8 Shared Dispositive Power 579,541 ( 1 ) 9 Aggregate Amount Beneficially Owned by Each Reporting Person 579,541 ( 1 ) 10 Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) 11 Percent of Class Represented by Amount in Row (9) 9.9 % ( 2 ) 12 Type of Reporting Person (See Instructions) IA, OO (1) After giving effect to (i) the registered direct offering of the Issuer’s common stock (the “Common Stock”) and Pre-Funded Warrants to Purchase Common Stock (the “Warrants”) on September 3, 2024 (the “Offering”), and (ii) the 1-for-25 reverse stock split with respect to the Issuer’s Common Stock that was effected on June 20, 2024 (the “Reverse Stock Split”), Redmile Group, LLC’s beneficial ownership of the Common Stock is comprised of 452,270 shares of Common Stock owned by certain private investment vehicles and/or sub-advised accounts managed by Redmile Group, LLC (the “Clients”), including RedCo I, L.P., which shares of Common Stock may be deemed beneficially owned by Redmile Group, LLC (“Redmile”) as investment manager of such Clients. The reported securities may also be deemed beneficially owned by Jeremy C. Green as the principal of Redmile. Redmile and Mr. Green each disclaim beneficial ownership of these shares, except to the extent of its or his pecuniary interest in such shares, if any. Subject to the Beneficial Ownership Blocker (as defined below), Redmile may also be deemed to beneficially own 2,740,681 shares of Common Stock issuable upon exercise of certain Warrants. 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 would be aggregated with such holder’s for the purposes of Section 13(d) of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), and the applicable regulations of the 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 (the “Beneficial Ownership Blocker”). The “Beneficial Ownership Limitation” is 9.99% 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. The 579,541 shares of Common Stock reported as beneficially owned by Redmile in this Schedule 13G represents 9.99% of the outstanding shares of Common Stock (calculated in accordance with footnote (2) below). (2) Percentage based on: (i) 4,915,049 shares of Common Stock outstanding as of August 6, 2024, as reported by the Issuer in its Quarterly Report on Form 10-Q for the quarterly period ended June 30, 2024 filed with the SEC on August 12, 2024 (the “Form 10-Q”), plus (ii) 758,900 shares of Common Stock issued in the Offering, plus (iii) 127,271 share

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