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Athira Pharma, Inc. — Director's Dealing 2022
Jun 25, 2022
35038_dirs_2022-06-24_53e6efd9-6cbb-4070-9a17-b3755b73eb11.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: Athira Pharma, Inc. (ATHA)
CIK: 0001620463
Period of Report: 2022-06-22
Reporting Person: MOEBIUS HANS (Chief Medical Officer)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2022-05-18 | Common Stock | A | 1699 | $7.06 | Acquired | 32955 | Direct |
| 2022-06-22 | Common Stock | A | 10000 | $0.00 | Acquired | 42955 | Direct |
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 November 18, 2021 through May 18, 2022. This transaction is also exempt under Rule 16b-3(c).
F2: 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.
F3: In accordance with the ESPP, these shares were purchased based on 85% of the closing price on May 18, 2022.
F4: 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.