0001209191-23-034886.txt : 20230606 0001209191-23-034886.hdr.sgml : 20230606 20230606193512 ACCESSION NUMBER: 0001209191-23-034886 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230602 FILED AS OF DATE: 20230606 DATE AS OF CHANGE: 20230606 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MOEBIUS HANS CENTRAL INDEX KEY: 0001822494 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39503 FILM NUMBER: 23997410 MAIL ADDRESS: STREET 1: 4000 MASON ROAD, SUITE 300 STREET 2: BOX 352141 CITY: SEATTLE STATE: WA ZIP: 98195-2141 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: (425) 620-8501 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 X0407 4 2023-06-02 0 0001620463 Athira Pharma, Inc. ATHA 0001822494 MOEBIUS HANS C/O ATHIRA PHARMA, INC. 18706 NORTH CREEK PARKWAY, SUITE 104 BOTHELL WA 98011 0 1 0 0 Chief Medical Officer 0 Common Stock 2023-05-18 5 A 0 E 7764 2.41 A 73600 D Common Stock 2023-06-02 4 M 0 7882 1.35 A 81482 D Stock Option (Right to Buy) 1.35 2023-06-02 4 M 0 7882 0.00 D 2029-08-14 Common Stock 7882 0 D 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, 2022 through May 18, 2023. This transaction is also exempt under Rule 16b-3(c). The Purchase Period ended May 18, 2023 and is the Purchase Period comprising the Offering Period (as defined in the ESPP) that began November 18, 2022. In accordance with the ESPP, these shares were purchased based on 85% of the closing price on May 18, 2023. One-fourth of the shares subject to the option vested on June 1, 2020 and one-fourth of the shares subject to the option vest on each year thereafter. /s/ Mark Worthington, Attorney-in-Fact for Hans Moebius 2023-06-06