4//SEC Filing
MILESON GLENNA 4
Accession 0001209191-22-039342
CIK 0001620463other
Filed
Jun 23, 8:00 PM ET
Accepted
Jun 24, 7:53 PM ET
Size
10.4 KB
Accession
0001209191-22-039342
Insider Transaction Report
Form 4
MILESON GLENNA
Chief Financial Officer
Transactions
- Award
Common Stock
2022-06-22+10,000→ 111,781 total - Award
Common Stock
2022-05-18$7.06/sh+1,721$12,150→ 101,781 total - Sale
Common Stock
2022-06-23$2.69/sh−2,614$7,032→ 109,167 total
Footnotes (6)
- [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, 2021 through May 18, 2022. This transaction is also exempt under Rule 16b-3(c).
- [F2]The Purchase Period ended May 18, 2022 and is the Purchase Period comprising the Offering Period (as defined in the ESPP) that began November 18, 2021.
- [F3]In accordance with the ESPP, these shares were purchased based on 85% of the closing price on May 18, 2022.
- [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 were scheduled to vest according to the following 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 at the completion of the public readout of topline results of the Issuer's LIFT-AD Phase 2/3 clinical trial (the "LIFT-AD Readout") and (3) one third (1/3rd) of the number of shares subject to the RSU award vest six (6) months after the LIFT-AD Readout, in each case subject to continued service with the Issuer through the applicable vesting date. On June 22, 2022, the Issuer completed the public readout of topline results of the ACT-AD Phase 2 clinical trial and 10,000 RSUs vested and settled on such date.
- [F5]The reported shares were sold to cover the Issuer's tax withholding obligations in connection with the vesting of RSUs. Such sale was made pursuant to an Issuer-mandated policy and was not subject to discretion.
- [F6]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 $2.62 to $2.78, 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.
Documents
Issuer
Athira Pharma, Inc.
CIK 0001620463
Entity typeother
Related Parties
1- filerCIK 0001822241
Filing Metadata
- Form type
- 4
- Filed
- Jun 23, 8:00 PM ET
- Accepted
- Jun 24, 7:53 PM ET
- Size
- 10.4 KB