| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | ATHA | Common Stock | Award | $13.4K | +10K | +29.03% | $1.34 | 44.5K | May 20, 2024 | Direct | F1, F2, F3 |
| transaction | ATHA | Common Stock | Award | $0 | +10K | +22.5% | $0.00 | 54.5K | Sep 3, 2024 | Direct | F4, F5 |
| transaction | ATHA | Common Stock | Sale | -$1.43K | -2.53K | -4.64% | $0.57 | 51.9K | Sep 5, 2024 | Direct | F6, F7 |
| 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 November 20, 2023 through May 20, 2024. This transaction is exempt under Rule 16b-3(c). |
| F2 | The Purchase Period ended May 20, 2024 and is the Purchase Period comprising the Offering Period (as defined in the ESPP) that began November 20, 2023. |
| F3 | In accordance with the ESPP, these shares were purchased based on 85% of the closing price on November 20, 2023. |
| F4 | On November 3, 2021, the reporting person was granted restricted stock units ("RSUs") representing 30,000 shares of Common Stock of the Issuer. The RSUs are scheduled to vest according to the following amended vesting schedule: (1) one third (1/3rd) of the number of shares subject to the RSU award vest at the completion of the public readout of topline results of the Issuer's ACT-AD Phase 2 clinical trial; (2) one third (1/3rd) of the number of shares subject to the RSU award vest as of the date the Compensation Committee (the "Committee") determines that enrollment of the Company's LIFT-AD Phase 2/3 clinical trial has been completed, and (3) one third (1/3rd) of the number of shares subject to the RSU award vest as of the completion of the public readout of topline results of the Issuer's LIFT-AD Phase 2/3 clinical trial (the "LIFT-AD Readout"), in each case subject to continued service with the Issuer through the applicable vesting date. |
| F5 | On September 3, 2024, the Company completed the public readout of the topline results of its LIFT-AD Phase 2/3 clinical trial and 10,000 RSUs vested on such date. |
| F6 | Represents shares of common stock sold to cover tax withholding and remittance obligations in connection with the vesting of RSUs pursuant to mandatory "sell to cover" policies maintained by the issuer and provisions contained in the reporting person's applicable RSU agreement, and does not represent a discretionary sale by the reporting person. |
| F7 | The "Amount" and "Price" reported in this Column 4 reflect the aggregate number and weighted-average price, respectively, of shares sold. These shares were sold in multiple transactions at prices ranging from $0.5505 to $0.5751, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the SEC staff, upon request, full information regarding the number of shares sold at each separate price within the range set forth herein. |