Hans Moebius - Jul 21, 2021 Form 4 Insider Report for Athira Pharma, Inc. (ATHA)

Role
Chief Medical Officer
Signature
/s/ Glenna Mileson, Attorney in fact for Hans Moebius
Stock symbol
ATHA
Transactions as of
Jul 21, 2021
Transactions value $
$67,997
Form type
4
Date filed
7/21/2021, 04:47 PM
Next filing
Jan 20, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction ATHA Common Stock Award $29.7K +2.06K $14.45* 2.06K May 18, 2021 Direct F1, F2, F3
transaction ATHA Common Stock Options Exercise $17K +12.6K +613.63% $1.35 14.7K Jul 21, 2021 Direct
transaction ATHA Common Stock Options Exercise $21.3K +15.8K +107.48% $1.35 30.4K Jul 21, 2021 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
transaction ATHA Stock Option (Right to Buy) Options Exercise $0 -12.6K -100% $0.00* 0 Jul 21, 2021 Common Stock 12.6K $1.35 Direct F4
transaction ATHA Stock Option (Right to Buy) Options Exercise $0 -15.8K -50% $0.00 15.8K Jul 21, 2021 Common Stock 15.8K $1.35 Direct F5
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The reporting person is voluntarily reporting the acquisition of shares of the issuer's common stock pursuant to the Athira Pharma, Inc. 2020 Employee Stock Purchase Plan ("ESPP"), for the ESPP Purchase Period (as defined in the ESPP) of September 17, 2020 through May 18, 2021. This transaction is also exempt under Rule 16b-3(c).
F2 The Purchase Period ended May 18, 2021 and is the Purchase Period comprising the Offering Period (as defined in the ESPP) that began September 17, 2020.
F3 In accordance with the ESPP, these shares were purchased based on 85% of the closing price of the initial public offering price from the issuer's initial public offering.
F4 The shares subject to the option fully vested on April 1, 2021.
F5 One-fourth of the shares subject to the option vested on June 1, 2020 and one-fourth of the shares subject to the option vest on each year thereafter.