| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | ATHA | Common Stock | Award | $2.01K | +3.65K | +4.77% | $0.55 | 80.2K | Nov 18, 2024 | Direct | F1, F2, F3 |
| transaction | ATHA | Common Stock | Options Exercise | $0 | +12.4K | +15.4% | $0.00 | 92.6K | Dec 31, 2024 | Direct | |
| transaction | ATHA | Common Stock | Sale | -$1.62K | -2.88K | -3.11% | $0.56 | 89.7K | Jan 2, 2025 | Direct | F4, F5 |
| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Underlying Class | Amount | Exercise Price | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | ATHA | Restricted Stock Units | Options Exercise | $0 | -12.4K | -33.33% | $0.00 | 24.7K | Dec 31, 2024 | Common Stock | 12.4K | Direct | F6, F7, F8 |
| 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 May 20, 2024 through November 18, 2024. This transaction is also exempt under Rule 16b-3(c). |
| F2 | The Purchase Period ended November 18, 2024 and is the Purchase Period comprising the Offering Period (as defined in the ESPP) that began May 20, 2024. |
| F3 | In accordance with the ESPP, these shares were purchased based on 85% of the closing price on November 18, 2024. |
| F4 | Represents shares of common stock sold to cover tax withholding and remittance obligations in connection with the vesting of restricted stock units ("RSU") 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. |
| F5 | 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 $0.5414 to $0.5939, 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. |
| F6 | RSUs convert into common stock on a one-for-one basis. |
| F7 | Each RSU represents a contingent right to receive one (1) share of Issuer's common stock. |
| F8 | On October 1, 2024, the reporting person was granted 37,077 RSUs. One-third (1/3rd) of the RSUs vest on each of December 31, 2024, June 30, 2025 and December 31, 2025, subject to the reporting person continuing to be a Service Provider (as defined in the Issuer's 2020 Equity Incentive Plan (the "Plan")) through the applicable vesting dates. |