SEC Form 3
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*
Serafini Tito

(Last) (First) (Middle)
C/O ATRECA, INC., 500 SAGINAW DRIVE

(Street)
REDWOOD CITY CA 94063

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
06/19/2019
3. Issuer Name and Ticker or Trading Symbol
Atreca, Inc. [ BCEL ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director 10% Owner
X Officer (give title below) Other (specify below)
Chief Strategy Officer
5. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
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 3,655 D
Class A Common Stock 468,686 I By the Serafini/Postner Revocable Trust
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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
Stock Option (right to buy) (1) 02/02/2026 Class A Common Stock 11,403 $4.56 D
Stock Option (right to buy) (2) 04/27/2028 Class A Common Stock 80,620 $5.16 D
Stock Option (right to buy) (3) 10/29/2028 Class A Common Stock 141,395 $10.02 D
Stock Option (right to buy) (4) 11/14/2028 Class A Common Stock 50,145 $10.02 D
Series A Preferred Stock (5) (5) Class A Common Stock 5,703 (5) I By the Serafini/Postner Revocable Trust
Series B Preferred Stock (5) (5) Class A Common Stock 6,431 (5) I By the Serafini/Postner Revocable Trust
Explanation of Responses:
1. 1/48 of the Option vests in equal monthly installments as measured from 2/3/2016. The shares subject to this option are early exercisable, subject to the Issuer's right of repurchase. If applicable, vesting accelerates as provided in, and subject to the terms and condition of, that certain Executive Employment Agreement between the Issuer and the Reporting Person, as may be amended from time to time.
2. 1/4 of the Option vested on 4/28/2018. 1/48 of the Option vests in equal monthly installments as measured from 4/16/2018. The shares subject to this option are early exercisable, subject to the Issuer's right of repurchase. If applicable, vesting accelerates as provided in, and subject to the terms and condition 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 10/1/2018. If applicable, vesting accelerates as provided in, and subject to the terms and condition of, that certain Executive Employment Agreement between the Issuer and the Reporting Person, as may be amended from time to time.
4. 1/48 of the Option vests in equal monthly installments as measured from 11/15/2018. If applicable, vesting accelerates as provided in, and subject to the terms and condition of, that certain Executive Employment Agreement between the Issuer and the Reporting Person, as may be amended from time to time.
5. The preferred stock will automatically convert into Class A common stock on a 1-to-1 basis immediately upon closing of the initial public offering of the Issuer and has no expiration date.
Remarks:
/s/ Herbert Cross, attorney-in-fact 06/19/2019
** 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.
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