Michael Auerbach - Jan 14, 2022 Form 4 Insider Report for ATAI Life Sciences N.V. (ATAI)

Role
Director
Signature
/s/ Ryan Barrett, Attorney-in-fact
Stock symbol
ATAI
Transactions as of
Jan 14, 2022
Transactions value $
$0
Form type
4
Date filed
1/19/2022, 03:30 PM
Previous filing
Jan 4, 2022
Next filing
Feb 2, 2022
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction ATAI Common Shares Other $0 -5.56M -100% $0.00* 0 Jan 14, 2022 By Subversive ATAI, LLC F1, F2
holding ATAI Common Shares 4.67K Jan 14, 2022 Direct F3
holding ATAI Common Shares 520K Jan 14, 2022 By M3 Daat, LLC F4, F5
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Represents a pro-rata distribution in-kind by Subversive ATAI LLC for no consideration to its members.
F2 Mr. Auerbach serves as Managing Member of Subversive ATAI, LLC, a multi-member limited liability company. Mr. Auerbach has sole voting and investment power with respect to the shares held by Subversive ATAI, LLC.
F3 The Reporting Person's Form 4 filed on June 24, 2021 inadvertently attributed a purchase of 4,666 Common Shares to Subversive ATAI, LLC. Following the reported transaction, the Reporting Person directly beneficially owned 4,666 Common Shares as reported herein.
F4 Reflects the acquisition of Common Shares by M3 Daat, LLC in connection with the pro-rata distribution in-kind described in footnote 1 above, which was exempt from reporting pursuant to Rule 16a-13.
F5 Mr. Auerbach is a member of M3 Daat, LLC and has sole voting and investment power with respect to the shares held by M3 Daat, LLC. Mr. Auerbach disclaims beneficial ownership over the Common Shares held by M3 Daat, LLC, except to the extent of his pecuniary interest.