4//SEC Filing
Litton Mark James 4
Accession 0001415889-25-000536
CIK 0001620463other
Filed
Jan 2, 7:00 PM ET
Accepted
Jan 3, 5:04 PM ET
Size
12.6 KB
Accession
0001415889-25-000536
Insider Transaction Report
Form 4
Litton Mark James
DirectorPresident and CEO
Transactions
- Exercise/Conversion
Common Stock
2024-12-31+108,333→ 267,698 total - Sale
Common Stock
2025-01-02$0.56/sh−25,107$14,108→ 242,591 total - Exercise/Conversion
Restricted Stock Units
2024-12-31−108,333→ 216,667 total→ Common Stock (108,333 underlying)
Holdings
- 6,563(indirect: By Trust)
Common Stock
- 6,563(indirect: By Trust)
Common Stock
- 6,563(indirect: By Trust)
Common Stock
Footnotes (8)
- [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]Reflects Common Stock held by Irrevocable Trust of OSL held for the benefit of Dr. Litton's children.
- [F4]Reflects Common Stock held by Irrevocable Trust of SWL held for the benefit of Dr. Litton's children.
- [F5]Reflects Common Stock held by Irrevocable Trust of WGL held for the benefit of Dr. Litton's children.
- [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 3, 2024, the reporting person was granted 325,000 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.
Documents
Issuer
Athira Pharma, Inc.
CIK 0001620463
Entity typeother
Related Parties
1- filerCIK 0001604834
Filing Metadata
- Form type
- 4
- Filed
- Jan 2, 7:00 PM ET
- Accepted
- Jan 3, 5:04 PM ET
- Size
- 12.6 KB