Athira Pharma, Inc. — Director's Dealing 2021

Aug 19, 2021

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: Athira Pharma, Inc. (ATHA)
CIK: 0001620463
Period of Report: 2021-08-17

Reporting Person: Litton Mark James (Chief Operating Officer)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2021-05-18	Common Stock	A	867	$14.45	Acquired	64433	Direct
2021-08-17	Common Stock	M	50440	$1.35	Acquired	114873	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2021-08-17	Stock Option (Right to Buy)	$1.35	M	50440	Disposed	2029-08-14	Common Stock (50440)	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	6563	Indirect
Common Stock	6563	Indirect
Common Stock	6563	Indirect

Footnotes

F1: 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 September 17, 2020 through May 18, 2021. This transaction is also exempt under Rule 16b-3(c).

F2: The Purchase Period ended May 18, 2021 and is the Purchase Period comprising the Offering Period (as defined in the ESPP) that began September 17, 2020.

F3: In accordance with the ESPP, these shares were purchased based on 85% of the closing price of the initial public offering price from the issuer's initial public offering.

F4: Reflects Common Stock held by Irrevocable Trust of OSL held for the benefit of Dr. Litton's children.

F5: Reflects Common Stock held by Irrevocable Trust of SWL held for the benefit of Dr. Litton's children.

F6: Reflects Common Stock held by Irrevocable Trust of WGL held for the benefit of Dr. Litton's children.

F7: One-fourth of the shares subject to the option vested on July 1, 2020 and one-fourth of the shares subject to the option vest on each year thereafter.