Andrew Gengos - May 18, 2023 Form 4 Insider Report for Athira Pharma, Inc. (ATHA)

Role: Officer
Signature: /s/ Mark Worthington, Attorney-in-fact for Andrew Gengos
Stock symbol: ATHA
Transactions as of: May 18, 2023
Transactions value $: $0
Form type: 4
Date filed: 5/22/2023, 05:53 PM
Previous filing: Feb 24, 2022
Next filing: Jun 6, 2023
SEC: View on sec.gov

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Underlying Class	Amount	Exercise Price	Ownership	Footnotes
transaction	ATHA	Stock Options (right to buy)	Award	$0	+400K		$0.00	400K	May 18, 2023	Common Stock	400K	$2.84	Direct	F1

Showing 1 to 1 of 1 entries

* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id	Content
F1	One-third (1/3) of the shares subject to the option shall be scheduled to vest on May 18, 2024, the one (1) year anniversary of May 18, 2023, and the remaining shares subject to the option shall be scheduled to vest monthly over the next 36 months on the 18th of each month, subject to the Reporting Person continuing to be a Service Provider (as defined in Athira Pharma, Inc.'s 2020 Equity Incentive Plan) through the applicable vesting dates, as follows: one-third (1/3) of the shares subject to the option shall be scheduled to vest in equal monthly amounts over the next 12 months; one-sixth (1/6) of the shares subject to the option shall be scheduled to vest in equal monthly amounts over the subsequent 12 months; and the remaining one-sixth (1/6) of the shares subject to the option shall be scheduled to vest in equal monthly amounts over the final 12 months.

Content

One-third (1/3) of the shares subject to the option shall be scheduled to vest on May 18, 2024, the one (1) year anniversary of May 18, 2023, and the remaining shares subject to the option shall be scheduled to vest monthly over the next 36 months on the 18th of each month, subject to the Reporting Person continuing to be a Service Provider (as defined in Athira Pharma, Inc.'s 2020 Equity Incentive Plan) through the applicable vesting dates, as follows: one-third (1/3) of the shares subject to the option shall be scheduled to vest in equal monthly amounts over the next 12 months; one-sixth (1/6) of the shares subject to the option shall be scheduled to vest in equal monthly amounts over the subsequent 12 months; and the remaining one-sixth (1/6) of the shares subject to the option shall be scheduled to vest in equal monthly amounts over the final 12 months.

Remarks:

Chief Financial Officer and Chief Business Officer