0001209191-22-039342.txt : 20220624
0001209191-22-039342.hdr.sgml : 20220624
20220624195302
ACCESSION NUMBER: 0001209191-22-039342
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20220622
FILED AS OF DATE: 20220624
DATE AS OF CHANGE: 20220624
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: MILESON GLENNA
CENTRAL INDEX KEY: 0001822241
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39503
FILM NUMBER: 221041390
MAIL ADDRESS:
STREET 1: 4000 MASON ROAD, SUITE 300
STREET 2: BOX 352141
CITY: SEATTLE
STATE: WA
ZIP: 98195-2141
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Athira Pharma, Inc.
CENTRAL INDEX KEY: 0001620463
STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836]
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
X0306
4
2022-06-22
0
0001620463
Athira Pharma, Inc.
ATHA
0001822241
MILESON GLENNA
C/O ATHIRA PHARMA, INC.
18706 NORTH CREEK PARKWAY, SUITE 104
BOTHELL
WA
98011
0
1
0
0
Chief Financial Officer
Common Stock
2022-05-18
5
A
0
E
1721
7.06
A
101781
D
Common Stock
2022-06-22
4
A
0
10000
0.00
A
111781
D
Common Stock
2022-06-23
4
S
0
2614
2.69
D
109167
D
The reporting person is voluntarily reporting the acquisition of shares of the issuer's common stock pursuant to the Athira Pharma, Inc. 2020 Employee Stock Purchase Plan ("ESPP"), for the ESPP Purchase Period (as defined in the ESPP) of November 18, 2021 through May 18, 2022. This transaction is also exempt under Rule 16b-3(c).
The Purchase Period ended May 18, 2022 and is the Purchase Period comprising the Offering Period (as defined in the ESPP) that began November 18, 2021.
In accordance with the ESPP, these shares were purchased based on 85% of the closing price on May 18, 2022.
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 were scheduled to vest according to the following 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 at the completion of the public readout of topline results of the Issuer's LIFT-AD Phase 2/3 clinical trial (the "LIFT-AD Readout") and (3) one third (1/3rd) of the number of shares subject to the RSU award vest six (6) months after the LIFT-AD Readout, in each case subject to continued service with the Issuer through the applicable vesting date. On June 22, 2022, the Issuer completed the public readout of topline results of the ACT-AD Phase 2 clinical trial 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 $2.62 to $2.78, 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/ Glenna Mileson
2022-06-24