Filing Details
- Accession Number:
- 0001415889-25-000536
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2025-01-03 17:04:12
- Reporting Period:
- 2024-12-31
- Accepted Time:
- 2025-01-03 17:04:12
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1620463 | Athira Pharma Inc. | ATHA | () | 4 |
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 | President And Ceo | No | No | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2024-12-31 | 108,333 | $0.00 | 267,698 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2025-01-02 | 25,107 | $0.56 | 242,591 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Restricted Stock Units | Disposition | 2024-12-31 | 108,333 | $0.00 | 108,333 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 216,667 | No | 4 | M | 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
- Represents shares of common stock sold to cover tax withholding and remittance obligations in connection with the vesting of restricted stock units ("RSU") 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 $0.5414 to $0.5939, 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.
- RSUs convert into common stock on a one-for-one basis.
- Each RSU represents a contingent right to receive one (1) share of Issuer's common stock.
- On October 3, 2024, the reporting person was granted 325,000 RSUs. One-third (1/3rd) of the RSUs vest on each of December 31, 2024, June 30, 2025 and December 31, 2025, subject to the reporting person continuing to be a Service Provider (as defined in the Issuer's 2020 Equity Incentive Plan (the "Plan")) through the applicable vesting dates.
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