Hans Moebius - 18 Jan 2022 Form 4 Insider Report for Athira Pharma, Inc. (ATHA)

Reporting relationship: Chief Medical Officer
Issuer ticker: ATHA
Reported as of: 18 Jan 2022
Net transaction value: +$10,371
SEC form: 4
Accepted by SEC: 20 Jan 2022, 16:25:42 UTC
Prior SEC filing: 21 Jul 2021
Next SEC filing: 24 Jun 2022
Source filing: View source filing
Reporting owner signature: /s/ Glenna Mileson, Attorney-in-fact for Hans Moebius

Key filing fact

Hans Moebius filed Form 4 for Athira Pharma, Inc. (ATHA) on 20 Jan 2022.

Key facts

This page summarizes Hans Moebius's Form 4 filing for Athira Pharma, Inc. (ATHA).
2 reported transactions and 1 derivative row are listed below.
Accepted by SEC: 20 Jan 2022, 16:25.

Change

Previous filing in this sequence was filed on 21 Jul 2021.
Current net transaction value: +$10,371.

Research use

This tells you what this filing adds before you inspect full transaction and derivative tables.
You can trace every row back to the original SEC filing document.

Evidence

Filed on Form 4

Ownership activity is grounded in SEC Form 4 disclosures.

View source filing

Reported non-derivative transactions

Shares, units, or other non-derivative securities reported in this filing.

ATHA transaction

Common Stock

Award

Transaction value: $10,371
Shares: +829
Change %: +2.7%
Price: $12.51
Shares after: 31,256
Date: 18 Nov 2021
Ownership: Direct
Footnotes: F1, F2, F3

Reported derivative securities

Options, warrants, convertible securities, or similar derivative positions disclosed in the filing.

ATHA transaction Derivative

Stock Option (Right to Buy)

Award

Transaction value: $0
Shares: +180,000
Change %
Price: $0.000000
Shares after: 180,000
Date: 18 Jan 2022
Ownership: Direct
Underlying class: Common Stock
Underlying amount: 180,000
Exercise price: $10.64
Footnotes: F4

^* marks a reported price that did not pass the local price check.

Additional SEC filing notes

Filing notes and footnotes

Explanation of responses 4 footnotes

Footnote 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 May 18, 2021 through November 18, 2021. This transaction is also exempt under Rule 16b-3(c).

Footnote F2

The Purchase Period ended November 18, 2021 and is the Purchase Period comprising the Offering Period (as defined in the ESPP) that began May 18, 2021.

Footnote F3

In accordance with the ESPP, these shares were purchased based on 85% of the closing price on November 18, 2021.

Footnote F4

One forty-eighth (1/48th) of the shares subject to the option will vest on February 18, 2022, and one forty-eighth of the shares subject to the option will vest each month thereafter.