0001209191-24-001142.txt : 20240108 0001209191-24-001142.hdr.sgml : 20240108 20240108163644 ACCESSION NUMBER: 0001209191-24-001142 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: CHURCH KEVIN CENTRAL INDEX KEY: 0001822499 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39503 FILM NUMBER: 24520669 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] 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 0001822499 CHURCH KEVIN C/O ATHIRA PHARMA, INC. 18706 NORTH CREEK PARKWAY, SUITE 104 BOTHELL WA 98011 0 1 0 0 Chief Scientific Officer 0 Common Stock 2023-05-18 5 A 0 E 809 2.41 A 69271 D Common Stock 2023-11-20 5 A 0 E 3397 1.34 A 72668 D Common Stock 2023-01-04 4 A 0 10000 0.00 A 82668 D Common Stock 2023-01-05 4 S 0 2412 2.91 D 80256 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, 2022 through May 18, 2023. This transaction is also exempt under Rule 16b-3(c). The Purchase Period ended May 18, 2023 and is the Purchase Period comprising the Offering Period (as defined in the ESPP) that began November 18, 2022. In accordance with the ESPP, these shares were purchased based on 85% of the closing price on May 18, 2023. The reporting person is voluntarily reporting the acquisition of shares of the issuer's common stock pursuant to the ESPP, for the ESPP Purchase Period (as defined in the ESPP) of May 18, 2023 through November 20, 2023. This transaction is also exempt under Rule 16b-3(c). The Purchase Period ended November 20, 2023 and is the Purchase Period comprising the Offering Period (as defined in the ESPP) that began May 18, 2023. In accordance with the ESPP, these shares were purchased based on 85% of the closing price on November 20, 2023. 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 on behalf of Kevin Church 2024-01-08