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Filing Details

Accession Number:: 0001415889-24-004153
Form Type:: 4/A
Zero Holdings:: No
Publication Time:: 2024-02-16 16:38:45
Reporting Period:: 2024-01-04

Accepted Time:: 2024-02-16 16:38:45
Original Submission Date:: 2024-01-08
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1620463	Athira Pharma Inc.	ATHA	()	4/A

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1604834	James Mark Litton	C/O Athira Pharma, Inc. 18706 North Creek Parkway, Suite 104 Bothell WA 98011	Ceo	No	No	No	No

Reported Non-Derivative Transactions

Show Other Fields >>

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Acquisiton	2024-01-04	20,000	$0.00	149,217	No	4	A	Direct
Common Stock	Disposition	2024-01-05	4,820	$2.91	144,397	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	A	Direct
No	4	S	Direct

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	6,563	Indirect	By Irrevocable Trust of OSL
Common Stock	6,563	Indirect	By Irrevocable Trust of SWL
Common Stock	6,563	Indirect	By Irrevocable Trust of WGL

Footnotes

On November 3, 2021, the reporting person was granted restricted stock units ("RSUs") representing 60,000 shares of Common Stock of the Issuer. The RSUs are scheduled to vest according to the following amended vesting schedule: (1) one third (1/3rd) of the number of shares subject to the RSU award vest at the completion of the public readout of topline results of the Issuer's ACT-AD Phase 2 clinical trial; (2) one third (1/3rd) of the number of shares subject to the RSU award vest as of the date the Compensation Committee (the "Committee") determines that enrollment of the Company's LIFT-AD Phase 2/3 clinical trial has been completed, and (3) one third (1/3rd) of the number of shares subject to the RSU award vest as of the completion of the public readout of topline results of the Issuer's LIFT-AD Phase 2/3 clinical trial (the "LIFT-AD Readout"), in each case subject to continued service with the Issuer through the applicable vesting date.
On January 4, 2024, the Committee determined that enrollment of the Company's LIFT-AD Phase 2/3 clinical trial had been completed and 20,000 RSUs vested and settled on such date. The original Form 4 incorrectly reported the determination date as January 4, 2023.
The reported shares were sold to cover the Issuer's tax withholding obligations in connection with the vesting of RSUs. Such sale was made pursuant to an Issuer-mandated policy and was not subject to discretion.
The "Amount" and "Price" reported in this Column 4 reflect the aggregate number and weighted-average price, respectively, of shares sold. These shares were sold in multiple transactions at prices ranging from $2.84 to $3.01, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the SEC staff, upon request, full information regarding the number of shares sold at each separate price within the range set forth herein.
Reflects Common Stock held by Irrevocable Trust of OSL held for the benefit of Dr. Litton's children.
Reflects Common Stock held by Irrevocable Trust of SWL held for the benefit of Dr. Litton's children.
Reflects Common Stock held by Irrevocable Trust of WGL held for the benefit of Dr. Litton's children.