Abiopharma

🔍 Litton Mark James (Executive)

Company: Athira Pharma, Inc. (ATHA)

Report Date: 2025-12-31

Detailed Transactions and Holdings:

• Acquired 10,834 shares of Common Stock (Direct)
  Date: 2025-12-31 | Code: M | equity_swap_involved: 0 | shares_owned_after: 43,414.00 | transaction_form_type: 4 | Footnotes: F1
• Sold 2,586 shares of Common Stock at $6.88 per share (Direct)
  Date: 2026-01-02 | Code: S | equity_swap_involved: 0 | shares_owned_after: 40,828.00 | transaction_form_type: 4 | Footnotes: F2, F3
• Holds 0 shares of Common Stock (Direct)
  Date: 2025-12-31 | Code: H | nature_of_ownership: By Irrevocable Trust of OSL | shares_owned_after: 656.00 | Footnotes: F4
• Holds 0 shares of Common Stock (Direct)
  Date: 2025-12-31 | Code: H | nature_of_ownership: By Irrevocable Trust of SWL | shares_owned_after: 656.00 | Footnotes: F5
• Holds 0 shares of Common Stock (Direct)
  Date: 2025-12-31 | Code: H | nature_of_ownership: By Irrevocable Trust of WGL | shares_owned_after: 656.00 | Footnotes: F6
• Sold 10,834 shares of Restricted Stock Units (Derivative)
  Date: 2025-12-31 | Code: M | equity_swap_involved: 0 | transaction_form_type: 4 | Footnotes: F7, F8, F9, F9

Footnotes:

• F1: The reported number of shares in this Form 4 has been adjusted to reflect the impact of the Issuer's 10-for-1 reverse stock split completed on September 17, 2025 (the "Reverse Stock Split").
• F2: 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. No additional shares of common stock were sold by the reporting person and the shares of common stock received upon settlement of the RSUs are subject to a lock-up agreement with Cantor Fitzgerald & Co. entered into in connection with the Issuer's private placement in December 2025.
• F3: 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 $6.60 to $7.56, 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.
• F4: Reflects Common Stock held by Irrevocable Trust of OSL held for the benefit of Dr. Litton's children.
• F5: Reflects Common Stock held by Irrevocable Trust of SWL held for the benefit of Dr. Litton's children.
• F6: Reflects Common Stock held by Irrevocable Trust of WGL held for the benefit of Dr. Litton's children.
• F7: RSUs convert into common stock on a one-for-one basis.
• F8: Each RSU represents a contingent right to receive one (1) share of Issuer's common stock.
• F9: On October 1, 2024, the reporting person was granted 32,500 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.