Anne Nagengast Johnson - 10 May 2023 Form 3 Insider Report for ATAI Life Sciences N.V. (ATAI)

Role: Chief Accounting Officer
Signature: /s/ Ryan Barrett, Attorney-in-fact
Issuer symbol: ATAI
Transactions as of: 10 May 2023
Net transactions value: $0
Form type: 3
Filing time: 19 May 2023, 17:36:48 UTC
Next filing: 15 Mar 2024
SEC: View on sec.gov

Transactions Table

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Ownership	Footnotes
holding	ATAI	Common Shares						1,000	10 May 2023	Direct

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
holding	ATAI	Stock Option							10 May 2023	Common Shares	326,416	$5.68	Direct	F1
holding	ATAI	Stock Option							10 May 2023	Common Shares	115,152	$11.71	Direct	F2
holding	ATAI	Stock Option							10 May 2023	Common Shares	200,000	$5.54	Direct	F3
holding	ATAI	Stock Option							10 May 2023	Common Shares	71,620	$2.86	Direct	F4
holding	ATAI	Stock Option							10 May 2023	Common Shares	500,000	$1.18	Direct	F5
holding	ATAI	Restricted Stock Unit							10 May 2023	Common Shares	200,000	$0.000000	Direct	F6

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

Explanation of Responses:

Id	Content
F1	This stock option was granted prior to atai Life Sciences N.V.'s (the "Company") June 2021 initial public offering ("IPO") and is subject to accelerated vesting upon a change in control or in the event the Reporting Person's service with the Company is terminated due to death or disability. The stock option vested as to 50% of the underlying shares on January 20, 2022 and the remaining underlying shares vest in 24 substantially equal monthly installments thereafter.
F2	This stock option was granted prior the Company's IPO and is subject to accelerated vesting upon a change in control or in the event the Reporting Person's service with the Company is terminated due to death or disability. The stock option vested as to 25% of the underlying shares on April 29, 2022, and the remaining underlying shares vest in 36 substantially equal monthly installments thereafter.
F3	The stock option vested as to 25% of the underlying shares on January 1, 2023, and the remaining underlying shares vest in 36 substantially equal monthly installments thereafter.
F4	The stock option vests as to 25% of the underlying shares on September 1, 2023, and in 36 substantially equal monthly installments thereafter.
F5	The stock option vests as to 25% of the underlying shares on March 14, 2024, and in 36 substantially equal monthly installments thereafter.
F6	Each restricted stock unit represents a contingent right to receive one common share of the Company upon vesting and settlement. 50% of the restricted stock units will vest on the first anniversary of the grant date and 50% will vest on the second anniversary of the grant date.