0001415889-24-004153.txt : 20240216
0001415889-24-004153.hdr.sgml : 20240216
20240216163845
ACCESSION NUMBER: 0001415889-24-004153
CONFORMED SUBMISSION TYPE: 4/A
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20240104
FILED AS OF DATE: 20240216
DATE AS OF CHANGE: 20240216
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Litton Mark James
CENTRAL INDEX KEY: 0001604834
ORGANIZATION NAME:
FILING VALUES:
FORM TYPE: 4/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39503
FILM NUMBER: 24649013
MAIL ADDRESS:
STREET 1: 11804 NORTH CREEK PARKWAY SOUTH
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/A
1
form4a-02162024_090229.xml
X0508
4/A
2024-01-04
2024-01-08
0001620463
Athira Pharma, Inc.
ATHA
0001604834
Litton Mark James
C/O ATHIRA PHARMA, INC.
18706 NORTH CREEK PARKWAY, SUITE 104
BOTHELL
WA
98011
true
true
false
false
CEO
0
Common Stock
2024-01-04
4
A
0
20000
0
A
149217
D
Common Stock
2024-01-05
4
S
0
4820
2.91
D
144397
D
Common Stock
6563
I
By Irrevocable Trust of OSL
Common Stock
6563
I
By Irrevocable Trust of SWL
Common Stock
6563
I
By Irrevocable Trust of WGL
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.
/s/ Mark Worthington, Attorney-in-Fact for Mark Litton
2024-02-16