0001209191-24-001138.txt : 20240108
0001209191-24-001138.hdr.sgml : 20240108
20240108163500
ACCESSION NUMBER: 0001209191-24-001138
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20240104
FILED AS OF DATE: 20240108
DATE AS OF CHANGE: 20240108
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Lenington Rachel
CENTRAL INDEX KEY: 0001861194
ORGANIZATION NAME:
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39503
FILM NUMBER: 24520570
MAIL ADDRESS:
STREET 1: C/O ATHIRA PHARMA, INC.
STREET 2: 18706 NORTH CREEK PARKWAY, SUITE 104
CITY: BOTHELL
STATE: WA
ZIP: 98011
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Athira Pharma, Inc.
CENTRAL INDEX KEY: 0001620463
STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836]
ORGANIZATION NAME: 03 Life Sciences
IRS NUMBER: 453368487
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 18706 NORTH CREEK PARKWAY, SUITE 104
CITY: BOTHELL
STATE: WA
ZIP: 98011
BUSINESS PHONE: (425) 620-8501
MAIL ADDRESS:
STREET 1: 18706 NORTH CREEK PARKWAY, SUITE 104
CITY: BOTHELL
STATE: WA
ZIP: 98011
FORMER COMPANY:
FORMER CONFORMED NAME: M3 Biotechnology, Inc.
DATE OF NAME CHANGE: 20140924
4
1
doc4.xml
FORM 4 SUBMISSION
X0508
4
2024-01-04
0
0001620463
Athira Pharma, Inc.
ATHA
0001861194
Lenington Rachel
C/O ATHIRA PHARMA, INC.
18706 NORTH CREEK PARKWAY, SUITE 104
BOTHELL
WA
98011
0
1
0
0
Chief Operating Officer
0
Common Stock
2024-01-04
4
A
0
10000
0.00
A
15807
D
Common Stock
2024-01-05
4
S
0
2412
2.91
D
13395
D
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 January 4, 2023, the Committee determined that enrollment of the Company's LIFT-AD Phase 2/3 clinical trial had been completed and 10,000 RSUs vested and settled on such date.
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.
s/ Mark Worthington, Attorney-in-Fact for Rachel Lenington
2024-01-08