Apeiron Investment Group Ltd. - Apr 6, 2022 Form 4 Insider Report for ATAI Life Sciences N.V. (ATAI)

Role: 10%+ Owner
Signature: Apeiron Investment Group Ltd. By: /s/ Julien Hofer, Director
Stock symbol: ATAI
Transactions as of: Apr 6, 2022
Transactions value $: $959,800
Form type: 4
Date filed: 4/7/2022, 04:15 PM
Previous filing: Jun 24, 2021
Next filing: Apr 12, 2022

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Underlying Class	Amount	Exercise Price	Ownership	Footnotes
transaction	ATAI	Call Option (right to purchase)	Purchase	$960K	+1M		$0.96	1M	Apr 6, 2022	Common Shares	1M	$10.10	By Apeiron Investment Group Ltd.	F1

* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id	Content
F1	On April 6, 2022, Apeiron Investment Group Ltd. ("Apeiron") finalized a capped call option transaction pursuant to which it shall have the right to purchase 1,000,000 Common Shares on March 31, 2025 at a price per share of $10.1030. In the event the trading price of the Common Shares exceeds $17.1751 on March 31, 2025, however, the number of shares that Apeiron shall be entitled to purchase pursuant to the option transaction shall be reduced proportionately to the amount by which such trading price exceeds $17.1751. Apeiron may also elect to settle the option transaction in cash in certain circumstances.

Content

On April 6, 2022, Apeiron Investment Group Ltd. ("Apeiron") finalized a capped call option transaction pursuant to which it shall have the right to purchase 1,000,000 Common Shares on March 31, 2025 at a price per share of $10.1030. In the event the trading price of the Common Shares exceeds $17.1751 on March 31, 2025, however, the number of shares that Apeiron shall be entitled to purchase pursuant to the option transaction shall be reduced proportionately to the amount by which such trading price exceeds $17.1751. Apeiron may also elect to settle the option transaction in cash in certain circumstances.