Key facts
- This page summarizes Andrew Gengos's Form 4 filing for Athira Pharma, Inc. (ATHA).
- 3 reported transactions and 0 derivative rows are listed below.
- Accepted by SEC: 05 Sep 2024, 19:51.
Andrew Gengos - 03 Sep 2024 Form 4 Insider Report for Athira Pharma, Inc. (ATHA)
- Reporting relationship
- CFO and Chief Business Officer
- Issuer ticker
- ATHA
- Reported as of
- 03 Sep 2024
- Net transaction value
- +$12,680
- SEC form
- 4
- Accepted by SEC
- 05 Sep 2024, 19:51:04 UTC
- Prior SEC filing
- 16 Feb 2024
- Next SEC filing
- 25 Feb 2025
- Source filing
- View source filing
- Reporting owner signature
- /s/ Mark Worthington, Attorney-in-Fact for Andrew Gengos
Source evidence
Original filing metadata and source links for verification.
5 source fields
Reporting owner
1 detail
Key filing fact
Andrew Gengos filed Form 4 for Athira Pharma, Inc. (ATHA) on 05 Sep 2024.
Change
- Previous filing in this sequence was filed on 16 Feb 2024.
- Current net transaction value: +$12,680.
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
View source filing
Ownership activity is grounded in SEC Form 4 disclosures.
Reported non-derivative transactions
Shares, units, or other non-derivative securities reported in this filing.
ATHA
transaction
Common Stock
Award
- Transaction value
- $13,400
- Shares
- +10,000
- Change %
- +12%
- Price
- $1.34
- Shares after
- 93,804
- Date
- 20 May 2024
- Ownership
- Direct
- Footnotes
- F1, F2, F3
ATHA
transaction
Common Stock
Award
- Transaction value
- $0
- Shares
- +5,000
- Change %
- +5.3%
- Price
- $0.000000
- Shares after
- 98,804
- Date
- 03 Sep 2024
- Ownership
- Direct
- Footnotes
- F4, F5
ATHA
transaction
Common Stock
Sale
- Transaction value
- $720
- Shares
- -1,272
- Change %
- -1.3%
- Price
- $0.5660
- Shares after
- 97,532
- Date
- 05 Sep 2024
- Ownership
- Direct
- Footnotes
- F6, F7
* marks a reported price that did not pass the local price check.
Additional SEC filing notes
Filing notes and footnotes
Explanation of responses 7 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 20, 2023 through May 20, 2024. This transaction is exempt under Rule 16b-3(c).
Footnote 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.
Footnote F3
In accordance with the ESPP, these shares were purchased based on 85% of the closing price on November 20, 2023.
Footnote F4
On May 18, 2023, the reporting person was granted restricted stock units ("RSUs") representing 10,000 shares of Common Stock of the Issuer. The RSUs were scheduled to vest according to the following amended schedule: (1) fifty percent (50%) of the shares subject to the RSU award vest as of the date the the Compensation Committee (the "Committee" determines that enrollment of the Company's LIFT-AD Phase 2/3 clinical trial has been completed, and (2) the remaining fifty percent (50%) of the shares subject to the RSUs shall vest at the completion of the public readout of topline results of the Company's LIFT-AD Phase 2/3 clinical trial, in each case subject to continued service with the Issuer through the applicable vesting date.
Footnote 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 5,000 RSUs vested on such date.
Footnote 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.
Footnote 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.