Florian Brand - Oct 4, 2024 Form 4 Insider Report for ATAI Life Sciences N.V. (ATAI)

Role
Co-Founder & Co-Chief Executive Officer
Signature
/s/ Ryan Barrett, Attorney-in-fact
Stock symbol
ATAI
Transactions as of
Oct 4, 2024
Transactions value $
$0
Form type
4
Date filed
10/4/2024, 04:30 PM
Previous filing
May 20, 2024

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 Stock Option Disposed to Issuer -4.24M -100% 0 Oct 4, 2024 Common Shares 4.24M $0.37 Direct F1, F2
transaction ATAI Stock Option Disposed to Issuer -401K -100% 0 Oct 4, 2024 Common Shares 401K $5.68 Direct F1, F2
transaction ATAI Stock Option Disposed to Issuer -338K -100% 0 Oct 4, 2024 Common Shares 338K $11.71 Direct F1, F3
transaction ATAI Stock Option Award +4.24M 4.24M Oct 4, 2024 Common Shares 4.24M $0.37 Direct F1, F2
transaction ATAI Stock Option Award +401K 401K Oct 4, 2024 Common Shares 401K $5.68 Direct F1, F2
transaction ATAI Stock Option Award +338K 338K Oct 4, 2024 Common Shares 338K $11.71 Direct F1, F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 No new stock options have been awarded. The transactions reported herein reflect the extension of the expiration date of certain pre-IPO stock options previously awarded subject to performance conditions that were not satisfied at the time of the Issuer's IPO but have subsequently been satisfied to align them with options granted under the Issuer's 2021 Incentive Award Plan, which is consistent with prevailing market practices.
F2 The stock option is fully vested and currently exercisable.
F3 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.

Remarks:

Co-Founder & Co-Chief Executive Officer