Hans Moebius - 02 Jun 2023 Form 4 Insider Report for Athira Pharma, Inc. (ATHA)

Reporting relationship: Chief Medical Officer
Issuer ticker: ATHA
Reported as of: 02 Jun 2023
Net transaction value: +$29,352
SEC form: 4
Accepted by SEC: 06 Jun 2023, 19:35:12 UTC
Prior SEC filing: 23 Jan 2023
Next SEC filing: 08 Jan 2024
Source filing: View source filing
Reporting owner signature: /s/ Mark Worthington, Attorney-in-Fact for Hans Moebius

Key filing fact

Hans Moebius filed Form 4 for Athira Pharma, Inc. (ATHA) on 06 Jun 2023.

Key facts

This page summarizes Hans Moebius's Form 4 filing for Athira Pharma, Inc. (ATHA).
3 reported transactions and 1 derivative row are listed below.
Accepted by SEC: 06 Jun 2023, 19:35.

Change

Previous filing in this sequence was filed on 23 Jan 2023.
Current net transaction value: +$29,352.

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: $18,711
Shares: +7,764
Change %: +12%
Price: $2.41
Shares after: 73,600
Date: 18 May 2023
Ownership: Direct
Footnotes: F1, F2, F3

ATHA transaction

Common Stock

Options Exercise

Transaction value: $10,641
Shares: +7,882
Change %: +11%
Price: $1.35
Shares after: 81,482
Date: 02 Jun 2023
Ownership: Direct

Reported derivative securities

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

ATHA transaction Derivative

Stock Option (Right to Buy)

Options Exercise

Transaction value: $0
Shares: -7,882
Change %: -100%
Price: $0.000000^*
Shares after: 0
Date: 02 Jun 2023
Ownership: Direct
Underlying class: Common Stock
Underlying amount: 7,882
Exercise price: $1.35
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 November 18, 2022 through May 18, 2023. This transaction is also exempt under Rule 16b-3(c).

Footnote F2

The Purchase Period ended May 18, 2023 and is the Purchase Period comprising the Offering Period (as defined in the ESPP) that began November 18, 2022.

Footnote F3

In accordance with the ESPP, these shares were purchased based on 85% of the closing price on May 18, 2023.

Footnote F4

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.