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