# EDGAR Filing Document

**Accession Number:** 0001604464
**File Stem:** 0001193125-23-003555
**Filing Date:** 2023-1
**Character Count:** 4845
**Document Hash:** 16c824d2974db82bf1f590028e270aa6
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001193125-23-003555.hdr.sgml**: 20230106

**ACCESSION NUMBER**: 0001193125-23-003555

**CONFORMED SUBMISSION TYPE**: 8-K

**PUBLIC DOCUMENT COUNT**: 12

**CONFORMED PERIOD OF REPORT**: 20221230

**ITEM INFORMATION**: Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

**FILED AS OF DATE**: 20230106

**DATE AS OF CHANGE**: 20230106

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Atara Biotherapeutics, Inc.
- **CENTRAL INDEX KEY:** 0001604464
- **STANDARD INDUSTRIAL CLASSIFICATION:** BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836]
- **IRS NUMBER:** 460920988
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 8-K
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-36548
- **FILM NUMBER:** 23515267

**BUSINESS ADDRESS:**
- **STREET 1:** 2380 CONEJO SPECTRUM ST
- **STREET 2:** SUITE 200
- **CITY:** THOUSAND OAKS
- **STATE:** CA
- **ZIP:** 91320
- **BUSINESS PHONE:** 805-623-4244

**MAIL ADDRESS:**
- **STREET 1:** 2380 CONEJO SPECTRUM ST
- **STREET 2:** SUITE 200
- **CITY:** THOUSAND OAKS
- **STATE:** CA
- **ZIP:** 91320

?xml version="1.0" encoding="utf-8" ? 8-K

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### UNITED STATES

### SECURITIES AND EXCHANGE COMMISSION

#### WASHINGTON, D.C. 20549

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### FORM 8-K

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#### CURRENT REPORT

#### Pursuant to Section 13 or 15(d)

#### of the Securities Exchange Act of 1934

#### Date of Report (Date of earliest event reported): January 6, 2023 (December 30, 2022)

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## ATARA BIOTHERAPEUTICS, INC.

#### (Exact Name of Registrant as Specified in Its Charter)

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| | | |
|:---|:---|:---|
| **Delaware** | **001-36548** | **46-0920988** |
| **(State or Other Jurisdiction**<br> **of Incorporation or Organization)** | **(Commission**<br> **File No.)** | **(IRS Employer**<br> **Identification No.)** |

---

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| | |
|:---|:---|
| **2380 Conejo Spectrum Street, Suite 200**<br> **Thousand Oaks, CA** | **91320** |
| **(Address of Principal Executive Offices)** | **(Zip Code)** |

---

#### Registrant's Telephone Number, Including Area Code: (805) 623-4211

#### Not Applicable

#### (Former Name or Former Address, if Changed Since Last Report)

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Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below):

☐ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

☐ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

☐ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

☐ Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

Securities registered pursuant to Section 12(b) of the Act:

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| | | |
|:---|:---|:---|
| **Title of each class** | **Trading<br>Symbol(s)** | **Name of Each Exchange**<br> **on Which Registered** |
| Common Stock, par value $0.0001 per share | ATRA | The Nasdaq Stock Market LLC |

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Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter). Emerging growth company ☐

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐

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#### ITEM 2.03 Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant.
On December 30, 2022, Atara Biotherapeutics, Inc., a Delaware corporation (the "Company"), and HCR Molag Fund, L.P., a Delaware limited partnership ("HCR"), closed the transactions contemplated by that certain Purchase and Sale Agreement dated December 20, 2022 by and between the Company and HCR. At the closing, the Company recorded $31,000,000, net of certain transaction costs, as a royalty financing liability.

The information set forth in Item 1.01 of the Current Report on Form 8-K filed December 20, 2022 is incorporated by reference into this Item 2.03 of this Current Report on Form 8-K.

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#### SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

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| | |
|:---|:---|
| **Atara Biotherapeutics, Inc.** | **Atara Biotherapeutics, Inc.** |
| By: | /s/ Amar Murugan |
|  | Amar Murugan |
|  | Senior Vice President, General Counsel |

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Dated: January 6, 2023