New insider Ruiz Roger Richard claimed ownership of 34,980 shares (SEC Form 3)
$BCEL
Biotechnology: Pharmaceutical Preparations
Health Care
| FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 09/17/2023 |
3. Issuer Name and Ticker or Trading Symbol
Atreca, Inc. [ BCEL ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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| Table I - Non-Derivative Securities Beneficially Owned | |||
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| 1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
| Class A Common Stock | 34,980(1) | D | |
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Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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| 1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
| Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
| Employee stock option (right to buy) | (2) | 12/22/2031 | Class A Common Stock | 25,000 | 3.18 | D | |
| Employee stock option (right to buy) | (3) | 01/26/2031 | Class A Common Stock | 28,250 | 1.845(4) | D | |
| Employee stock option (right to buy) | (5) | 02/08/2033 | Class A Common Stock | 50,000 | 1.49 | D | |
| Employee stock option (right to buy) | (6) | 10/29/2028 | Class A Common Stock | 41,666 | 1.845(4) | D | |
| Employee stock option (right to buy) | (6) | 01/30/2029 | Class A Common Stock | 8,333 | 1.845(4) | D | |
| Employee stock option (right to buy) | (7) | 02/25/2030 | Class A Common Stock | 27,000 | 1.845(4) | D | |
| Explanation of Responses: |
| 1. Consists of 26,647 shares of Class A Common Stock and 8,333 restricted stock units pertaining to a restricted stock unit award granted on February 9, 2023, vesting in three equal annual installments beginning on August 1, 2023, subject to the Reporting Person providing continuous service to the Issuer as of each such date. Each restricted stock unit represents a right to receive one share of Class A Common Stock upon vesting. |
| 2. 1/48 of the Option vests in equal monthly installments as measured from December 1, 2021, subject to the Reporting Person providing continuous service to the Issuer as of each such date. If applicable, vesting accelerates as provided in, and subject to the terms and conditions of, that certain Executive Employment Agreement between the Issuer and the Reporting Person, as may be amended from time to time. |
| 3. 1/48 of the Option vests in equal monthly installments as measured from January 1, 2021, subject to the Reporting Person providing continuous service to the Issuer as of each such date. If applicable, vesting accelerates as provided in, and subject to the terms and conditions of, that certain Executive Employment Agreement between the Issuer and the Reporting Person, as may be amended from time to time. |
| 4. The Board of Directors of the Issuer approved a repricing of this Option, effective June 13, 2022. |
| 5. 1/48 of the Option vests in equal monthly installments as measured from January 1, 2023, subject to the Reporting Person providing continuous service to the Issuer as of each such date. If applicable, vesting accelerates as provided in, and subject to the terms and conditions of, that certain Executive Employment Agreement between the Issuer and the Reporting Person, as may be amended from time to time. |
| 6. Fully vested. |
| 7. 1/48 of the Option vests in equal monthly installments as measured from January 1, 2020, subject to the Reporting Person providing continuous service to the Issuer as of each such date. If applicable, vesting accelerates as provided in, and subject to the terms and conditions of, that certain Executive Employment Agreement between the Issuer and the Reporting Person, as may be amended from time to time. |
| Remarks: |
| /s/ Roger Richard Ruiz | 09/27/2023 | |
| ** Signature of Reporting Person | Date | |
| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
| * If the form is filed by more than one reporting person, see Instruction 5 (b)(v). | ||
| ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
| Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
| Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. | ||