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Filing Details

Accession Number:: 0001415889-24-022986
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2024-09-05 19:50:23
Reporting Period:: 2024-09-03

Accepted Time:: 2024-09-05 19:50:23
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1620463	Athira Pharma Inc.	ATHA	Biological Products, (No Disgnostic Substances) (2836)	453368487

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1861194	Rachel Lenington	C/O Athira Pharma, Inc. 18706 North Creek Parkway, Suite 104 Bothell WA 98011	Coo And Cdo	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	2024-09-03	10,000	$0.00	23,395	No	4	A	Direct
Common Stock	Disposition	2024-09-05	2,525	$0.57	20,870	No	4	S	Direct

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

Footnotes

On November 3, 2021, the reporting person was granted restricted stock units ("RSUs") representing 30,000 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 September 3, 2024, the Company completed the public readout of the topline results of its LIFT-AD Phase 2/3 clinical trial and 10,000 RSUs vested on such date.
Represents shares of common stock sold to cover tax withholding and remittance obligations in connection with the vesting of RSUs pursuant to mandatory "sell to cover" policies maintained by the issuer and provisions contained in the reporting person's applicable RSU agreement, and does not represent a discretionary sale by the reporting person.
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 $0.5505 to $0.5751, 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.