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Athira Pharma, Inc. — Director's Dealing 2024
Feb 16, 2024
35038_dirs_2024-02-16_7cc8cc83-5305-49b3-9fae-c79fb455ac35.zip
Director's Dealing
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SEC Form 4/A — Form 4/A
Issuer: Athira Pharma, Inc. (ATHA)
CIK: 0001620463
Period of Report: 2024-01-04
Reporting Person: Gengos Andrew (N/A)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2024-01-04 | Common Stock | A | 5000 | — | Acquired | 85012 | Direct |
| 2024-01-05 | Common Stock | S | 1208 | $2.91 | Disposed | 83804 | Direct |
Footnotes
F1: On May 18, 2023, the reporting person was granted restricted stock units ("RSUs") representing 10,000 shares of Common Stock of the Issuer. The RSUs were scheduled to vest according to the following amended schedule: (1) fifty percent (50%) of the shares subject to the RSU award vest as of the date the the Compensation Committee (the "Committee" determines that enrollment of the Company's LIFT-AD Phase 2/3 clinical trial has been completed, and (2) the remaining fifty percent (50%) of the shares subject to the RSUs shall vest at the completion of the public readout of topline results of the Company's LIFT-AD Phase 2/3 clinical trial, in each case subject to continued service with the Issuer through the applicable vesting date.
F2: The original Form 4 incorrectly reported the transaction date as 01/04/2023.
F3: On January 4, 2024, the Committee determined that enrollment of the Company's LIFT-AD Phase 2/3 clinical trial had been completed and 5,000 RSUs vested and settled on such date. The original Form 4 incorrectly reported the determination date as January 4, 2023.
F4: The original Form 4 incorrectly reported the transaction date as 01/05/2023.
F5: 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.
F6: 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.