Florian Brand - 04 Oct 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
Issuer symbol
ATAI
Transactions as of
04 Oct 2024
Net transactions value
$0
Form type
4
Filing time
04 Oct 2024, 16:30:10 UTC
Previous filing
20 May 2024
SEC
View on sec.gov

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 -4,240,000 -100% 0 04 Oct 2024 Common Shares 4,240,000 $0.3700 Direct F1, F2
transaction ATAI Stock Option Disposed to Issuer -400,688 -100% 0 04 Oct 2024 Common Shares 400,688 $5.68 Direct F1, F2
transaction ATAI Stock Option Disposed to Issuer -338,112 -100% 0 04 Oct 2024 Common Shares 338,112 $11.71 Direct F1, F3
transaction ATAI Stock Option Award +4,240,000 4,240,000 04 Oct 2024 Common Shares 4,240,000 $0.3700 Direct F1, F2
transaction ATAI Stock Option Award +400,688 400,688 04 Oct 2024 Common Shares 400,688 $5.68 Direct F1, F2
transaction ATAI Stock Option Award +338,112 338,112 04 Oct 2024 Common Shares 338,112 $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