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

Role
Chief Accounting Officer
Signature
/s/ Ryan Barrett, Attorney-in-fact
Stock symbol
ATAI
Transactions as of
May 10, 2023
Transactions value $
$0
Form type
3
Date filed
5/19/2023, 05:36 PM
Next filing
Mar 15, 2024

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
holding ATAI Common Shares 1K May 10, 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 May 10, 2023 Common Shares 326K $5.68 Direct F1
holding ATAI Stock Option May 10, 2023 Common Shares 115K $11.71 Direct F2
holding ATAI Stock Option May 10, 2023 Common Shares 200K $5.54 Direct F3
holding ATAI Stock Option May 10, 2023 Common Shares 71.6K $2.86 Direct F4
holding ATAI Stock Option May 10, 2023 Common Shares 500K $1.18 Direct F5
holding ATAI Restricted Stock Unit May 10, 2023 Common Shares 200K $0.00 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.