0001209191-21-007925.txt : 20210204 0001209191-21-007925.hdr.sgml : 20210204 20210204201844 ACCESSION NUMBER: 0001209191-21-007925 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210203 FILED AS OF DATE: 20210204 DATE AS OF CHANGE: 20210204 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: FLUKE JOHN M JR CENTRAL INDEX KEY: 0001191906 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39503 FILM NUMBER: 21592951 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Athira Pharma, Inc. CENTRAL INDEX KEY: 0001620463 STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836] IRS NUMBER: 453368487 FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 18706 NORTH CREEK PARKWAY, SUITE 104 CITY: BOTHELL STATE: WA ZIP: 98011 BUSINESS PHONE: (206) 221-8112 MAIL ADDRESS: STREET 1: 18706 NORTH CREEK PARKWAY, SUITE 104 CITY: BOTHELL STATE: WA ZIP: 98011 FORMER COMPANY: FORMER CONFORMED NAME: M3 Biotechnology, Inc. DATE OF NAME CHANGE: 20140924 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2021-02-03 0 0001620463 Athira Pharma, Inc. ATHA 0001191906 FLUKE JOHN M JR C/O ATHIRA PHARMA, INC. 18706 NORTH CREEK PARKWAY, SUITE 104 BOTHELL WA 98011 1 0 0 0 Common Stock 2021-02-03 4 M 0 25220 1.19 A 140101 D Common Stock 2021-02-03 4 M 0 3783 1.35 A 143884 D Common Stock 6731 I By Fluke Capital Management, L.P. Stock Option (Right to Buy) 1.19 2021-02-03 4 M 0 25220 0.00 D 2027-12-12 Common Stock 25220 0 D Stock Option (Right to Buy) 1.35 2021-02-03 4 M 0 3783 0.00 D 2030-01-28 Common Stock 3783 0 D This filing relates to the exercise of stock options. No shares of Common Stock were sold by Mr. Fluke, and the shares of Common Stock received upon exercise of the stock options are subject to lock-up agreements with Goldman Sachs & Co. LLC and Jefferies LLC. The shares subject to the option fully vested on December 13, 2020. The shares subject to the option fully vested on December 13, 2019. Glenna Mileson, attorney-in-fact on behalf of John M. Fluke, Jr. 2021-02-04