Filing Details

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Rule 13d-1(b)

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Rule 13d-1(c)

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Rule 13d-1(d)

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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.

CUSIP No. 04746L104

(1)

Names of reporting persons

Leen Kawas

(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

United States of America

Number of

(5)

Sole voting power

1,428,292 shares (1)

shares

beneficially

owned by

(6)

Shared voting power

264,810 shares (2)

each

reporting

person

(7)

Sole dispositive power

1,428,292 shares (1)

with:

(8)

Shared dispositive power

264,810 shares (2)

(9)

Aggregate amount beneficially owned by each reporting person

1,693,102 shares (1)(2)

(10)

Check if the aggregate amount in Row (9) excludes certain shares (see instructions)

☐

(11)

Percent of class represented by amount in Row (9)

5.2% (3)

(12)

Type of reporting person (see instructions)

IN

(1)

Consists of 1,117,246 shares held of record by Dr. Kawas and options to purchase 311,046 shares that are exercisable within 60 days of December 31, 2020.

(2)

Consists of 264,810 shares held of record by the Hamdan Family GST Trust, of which the Reporting Person may be deemed to have voting or dispositive power.

(3)

Percentage ownership based on 32,485,184 shares of Common Stock of the Issuer outstanding as of December 31, 2020, as reported in the Issuer’s Registration Statement on Form S-1 filed with the Securities and Exchange Commission on January 19, 2021.

Item 1(a)

Name of Issuer:

Athira Pharma, Inc.

Item 1(b)

Address of Issuer’s Principal Executive Offices:

18706 North Creek Parkway, Suite 104

Bothell, WA 98011

Item 2 (a)

Name of Person Filing:

Leen Kawas

Item 2 (b)

Address of Principal Business Office or, if none, Residence:

c/o Athira Pharma, Inc.

18706 North Creek Parkway, Suite 104

Bothell, WA 98011

Item 2 (c)

Citizenship:

The Reporting Person is a United States citizen.

Item 2 (d)

Title of Class of Securities:

Common stock, par value $0.0001 per share

Item 2 (e)

CUSIP Number:

04746L104

Item 3.

If this statement is filed pursuant to §§240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a:

Item 4.

Ownership.

(a)

Amount beneficially owned:

(b)

Percent of class:

(c)

Number of shares as to which the person has:

(i)

Sole power to vote or to direct the vote:

(ii)

Shared power to vote or to direct the vote:

(iii)

Sole power to dispose or to direct the disposition of:

(iv)

Shared power to dispose or to direct the disposition of:

Item 5.

Ownership of 5 Percent or Less of a Class.

Not applicable.

Item 6.

Ownership of More than 5 Percent on Behalf of Another Person.

Not applicable.

Item 7.

Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company or Control Person.

Not applicable.

Item 8.

Identification and Classification of Members of the Group.

Not applicable.

Item 9.

Notice of Dissolution of Group.

Not applicable.

Item 10.

Certifications.

Not applicable.

/s/ Leen Kawas

Leen Kawas