Javier San Martin - 31 Dec 2024 Form 4 Insider Report for Athira Pharma, Inc. (ATHA)

Role
CHIEF MEDICAL OFFICER
Signature
/s/ Mark Worthington, Attorney-in-Fact on behalf of Javier San Martin
Issuer symbol
ATHA
Transactions as of
31 Dec 2024
Net transactions value
-$6,083
Form type
4
Filing time
03 Jan 2025, 17:05:26 UTC
Previous filing
03 Oct 2024
Next filing
04 Mar 2025
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction ATHA Common Stock Options Exercise $0 +46,667 $0.000000 46,667 31 Dec 2024 Direct
transaction ATHA Common Stock Sale $6,083 -10,826 -23% $0.5619 35,841 02 Jan 2025 Direct F1, F2

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 Restricted Stock Units Options Exercise $0 -46,667 -33% $0.000000 93,333 31 Dec 2024 Common Stock 46,667 Direct F3, F4, F5
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 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.
F2 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.
F3 RSUs convert into common stock on a one-for-one basis.
F4 Each RSU represents a contingent right to receive one (1) share of Issuer's common stock.
F5 On October 1, 2024, the reporting person was granted 140,000 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.