Company: ATRA
Filing Date: 2025-04-28
Form Type: DEF 14A
Source: 0000950170-25-059322
Chunk: 38

Company: Atara Biotherapeutics, Inc.
Filing Date: 2025-04-28
Form: DEF 14A
Chunk 38
---
 a member but is not deemed outstanding for computing the percentage of any other person. (2) The indicated ownership is based solely on a Schedule 13D/A filed with the SEC by the reporting person on September 5, 2024. The Schedule 13D/A provides information as of September 3, 2024 and, consequently, the beneficial ownership of the reporting person may have changed between September 3, 2024 and March 14, 2025. As of September 3, 2024, Adiumentum Capital Fund I GP LLC and Gregory A. Ciongoli held shared voting power and shared dispositive power over 1,133,823 shares and 499 Pre-Funded Warrants (as defined below) which may be exercised subject to the Adiumentum Beneficial Ownership Blocker (as defined below). The reported securities may also be deemed beneficially owned by Adiumentum Capital Fund I GP LLC and Gregory A. Ciongoli, each of which or whom disclaim beneficial ownership of these shares, except to the extent of its or his pecuniary interest in such shares, if any. Subject to the Adiumentum Beneficial Ownership Blocker (as defined below), Adiumentum Capital Fund I LP may also be deemed to beneficially own 150,193 shares upon exercise of certain Pre-Funded Warrants. Pursuant to the terms of the Pre-Funded Warrants, the Company may not effect any exercise of any Pre-Funded Warrant, and a holder of a Pre-Funded Warrant

<div align='center'>24</div>

does not have the right to exercise any portion of the Pre-Funded 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 Exchange Act, and the applicable regulations of 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 19.99% of the shares of Common Stock then issued and outstanding (the “Adiumentum Beneficial Ownership Blocker”), which percentage may be changed at a holder’s election upon 61 days’ notice to the Company.

The indicated ownership is based solely on a Schedule 13G filed with the SEC