0001209191-24-001153.txt : 20240108 0001209191-24-001153.hdr.sgml : 20240108 20240108164249 ACCESSION NUMBER: 0001209191-24-001153 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: Gengos Andrew CENTRAL INDEX KEY: 0001563623 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39503 FILM NUMBER: 24520729 MAIL ADDRESS: STREET 1: 21900 BURBANK BOULEVARD STREET 2: 3RD FLOOR CITY: WOODLAND HILLS STATE: CA ZIP: 91367 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 0001563623 Gengos Andrew C/O ATHIRA PHARMA, INC. 18706 NORTH CREEK PARKWAY, SUITE 104 BOTHELL WA 98011 0 1 0 0 See Below 0 Common Stock 2023-01-04 4 A 0 5000 0.00 A 85012 D Common Stock 2023-01-05 4 S 0 1208 2.91 D 83804 D On May 18, 2023, the reporting person was granted restricted stock units ("RSUs") representing 10,000 shares of Common Stock of the Issuer. The RSUs were scheduled to vest according to the following amended schedule: (1) fifty percent (50%) of the shares subject to the RSU award vest as of the date the the Compensation Committee (the "Committee" determines that enrollment of the Company's LIFT-AD Phase 2/3 clinical trial has been completed, and (2) the remaining fifty percent (50%) of the shares subject to the RSUs shall vest at the completion of the public readout of topline results of the Company's LIFT-AD Phase 2/3 clinical trial, 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 5,000 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. Chief Financial Officer and Chief Business Officer /s/ Mark Worthington, Attorney-in-fact for Andrew Gengos 2024-01-08