LONA

SEC source: 0001861464-26-000002 · form4-01062026_120121.xml · derivative · entry 3

Worthington Mark · CIK 0001861464 · General Counsel and CCO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,667 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · security: RSUs convert into common stock on a one-for-one basis.

F5 · derivative.exercise_price: Each RSU represents a contingent right to receive one (1) share of Issuer's common stock.

F6 · derivative.exercise_date: On October 1, 2024, the reporting person was granted 11,000 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.

F6 · derivative.expiration_date: On October 1, 2024, the reporting person was granted 11,000 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.

SEC source: 0001861464-26-000002 · form4-01062026_120121.xml · nonDerivative · entry 1

Worthington Mark · CIK 0001861464 · General Counsel and CCO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 14,854

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: 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").

SEC source: 0001604834-26-000002 · form4-01062026_120146.xml · derivative · entry 6

Litton Mark James · CIK 0001604834 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 10,834 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F7 · security: RSUs convert into common stock on a one-for-one basis.

F8 · derivative.exercise_price: Each RSU represents a contingent right to receive one (1) share of Issuer's common stock.

F9 · derivative.exercise_date: 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.

F9 · derivative.expiration_date: 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.

SEC source: 0001604834-26-000002 · form4-01062026_120146.xml · nonDerivative · entry 1

Litton Mark James · CIK 0001604834 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 43,414

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: 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").

SEC source: 0001794629-26-000002 · form4-01062026_120132.xml · derivative · entry 3

San Martin Javier · CIK 0001794629 · CHIEF MEDICAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 4,667 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · security: RSUs convert into common stock on a one-for-one basis.

F5 · derivative.exercise_price: Each RSU represents a contingent right to receive one (1) share of Issuer's common stock.

F6 · derivative.exercise_date: On October 1, 2024, the reporting person was granted 14,000 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.

F6 · derivative.expiration_date: On October 1, 2024, the reporting person was granted 14,000 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.

SEC source: 0001794629-26-000002 · form4-01062026_120132.xml · nonDerivative · entry 1

San Martin Javier · CIK 0001794629 · CHIEF MEDICAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 11,833

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: 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").

SEC source: 0001822499-25-000005 · form4-12292025_091245.xml · derivative · entry 1

CHURCH KEVIN · CIK 0001822499 · CHIEF SCIENTIFIC OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 35,138

Underlying: Common Stock · 35,138 shares

Expires 2035-09-23

F1 · derivative.exercise_price: The exercise price is equal to the closing price per share of Common Stock as reported on the Nasdaq Global Market on the date of grant.

F2 · derivative.exercise_date: On September 24, 2025, the reporting person was granted an option to purchase 35,138 shares of common stock. The option was scheduled to vest only upon satisfaction of both a milestone requirement (the "Milestone Requirement") and a service-based requirement (the "Service-Based Requirement"). The Milestone Requirement was satisfied on December 23, 2025. The Service-Based Requirement will be satisfied as to 50% of the total number of shares granted under the option on December 23, 2026 and as to 1/36th of the remaining 50% on the 23rd day of each month thereafter, subject to the optionee continuing to be a Service Provider (as defined in the Issuer's 2020 Equity Incentive Plan) through the applicable vesting dates.

SEC source: 0002037968-25-000003 · form4-12292025_091202.xml · derivative · entry 1

Renninger Robert · CIK 0002037968 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 34,358

Underlying: Common Stock · 34,358 shares

Expires 2035-09-23

F1 · derivative.exercise_price: The exercise price is equal to the closing price per share of Common Stock as reported on the Nasdaq Global Market on the date of grant.

F2 · derivative.exercise_date: On September 24, 2025, the reporting person was granted an option to purchase 34,358 shares of common stock. The option was scheduled to vest only upon satisfaction of both a milestone requirement (the "Milestone Requirement") and a service-based requirement (the "Service-Based Requirement"). The Milestone Requirement was satisfied on December 23, 2025. The Service-Based Requirement will be satisfied as to 50% of the total number of shares granted under the option on December 23, 2026 and as to 1/36th of the remaining 50% on the 23rd day of each month thereafter, subject to the optionee continuing to be a Service Provider (as defined in the Issuer's 2020 Equity Incentive Plan) through the applicable vesting dates.

SEC source: 0001861464-25-000003 · form4-12292025_091201.xml · derivative · entry 1

Worthington Mark · CIK 0001861464 · General Counsel and CCO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 34,358

Underlying: Common Stock · 34,358 shares

Expires 2035-09-23

F1 · derivative.exercise_price: The exercise price is equal to the closing price per share of Common Stock as reported on the Nasdaq Global Market on the date of grant.

F2 · derivative.exercise_date: On September 24, 2025, the reporting person was granted an option to purchase 34,358 shares of common stock. The option was scheduled to vest only upon satisfaction of both a milestone requirement (the "Milestone Requirement") and a service-based requirement (the "Service-Based Requirement"). The Milestone Requirement was satisfied on December 23, 2025. The Service-Based Requirement will be satisfied as to 50% of the total number of shares granted under the option on December 23, 2026 and as to 1/36th of the remaining 50% on the 23rd day of each month thereafter, subject to the optionee continuing to be a Service Provider (as defined in the Issuer's 2020 Equity Incentive Plan) through the applicable vesting dates.

SEC source: 0001604834-25-000004 · form4-12292025_091231.xml · derivative · entry 1

Litton Mark James · CIK 0001604834 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 133,526

Underlying: Common Stock · 133,526 shares

Expires 2035-09-24

F1 · derivative.exercise_price: The exercise price is equal to the closing price per share of Common Stock as reported on the Nasdaq Global Market on the date of grant.

F2 · derivative.exercise_date: On September 25, 2025, the reporting person was granted an option to purchase 133,526 shares of common stock. The option was scheduled to vest only upon satisfaction of both a milestone requirement (the "Milestone Requirement") and a service-based requirement (the "Service-Based Requirement"). The Milestone Requirement was satisfied on December 23, 2025. The Service-Based Requirement will be satisfied as to 50% of the total number of shares granted under the option on December 23, 2026 and as to 1/36th of the remaining 50% on the 23rd day of each month thereafter, subject to the optionee continuing to be a Service Provider (as defined in the Issuer's 2020 Equity Incentive Plan) through the applicable vesting dates.

SEC source: 0001794629-25-000003 · form4-12292025_091206.xml · derivative · entry 1

San Martin Javier · CIK 0001794629 · CHIEF MEDICAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 44,508

Underlying: Common Stock · 44,508 shares

Expires 2035-09-23

F1 · derivative.exercise_price: The exercise price is equal to the closing price per share of Common Stock as reported on the Nasdaq Global Market on the date of grant.

F2 · derivative.exercise_date: On September 24, 2025, the reporting person was granted an option to purchase 44,508 shares of common stock. The option was scheduled to vest only upon satisfaction of both a milestone requirement (the "Milestone Requirement") and a service-based requirement (the "Service-Based Requirement"). The Milestone Requirement was satisfied on December 23, 2025. The Service-Based Requirement will be satisfied as to 50% of the total number of shares granted under the option on December 23, 2026 and as to 1/36th of the remaining 50% on the 23rd day of each month thereafter, subject to the optionee continuing to be a Service Provider (as defined in the Issuer's 2020 Equity Incentive Plan) through the applicable vesting dates.

SEC source: 0001012975-25-000979 · form4.xml · derivative · entry 9

PERCEPTIVE ADVISORS LLC · CIK 0001224962 · Director · 10% owner

PERCEPTIVE LIFE SCIENCES MASTER FUND LTD · CIK 0001249675 · Director · 10% owner

EDELMAN JOSEPH · CIK 0001164426 · Director · 10% owner

Perceptive Xontogeny Venture Fund II, LP · CIK 0001851820 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 5,502,402

Underlying: Common Stock · 5,502,402 shares

Expires not disclosed

F7 · price: The securities were issued to Sermonix Pharmaceuticals, Inc. ("Sermonix") in exchange for the grant of certain licenses and rights by Sermonix to the Issuer. The Pre-Funded Warrants will become exercisable upon receipt by the Issuer of stockholder approval such that the Pre-Funded Warrants can be exercised at any time without restriction or additional stockholder approval. The Pre-Funded Warrants do not expire.

F7 · derivative.exercise_date: The securities were issued to Sermonix Pharmaceuticals, Inc. ("Sermonix") in exchange for the grant of certain licenses and rights by Sermonix to the Issuer. The Pre-Funded Warrants will become exercisable upon receipt by the Issuer of stockholder approval such that the Pre-Funded Warrants can be exercised at any time without restriction or additional stockholder approval. The Pre-Funded Warrants do not expire.

F11 · derivative.exercise_date: The terms of the Pre-Funded Warrants provide that such warrants may not be exercised if, after such exercise, Sermonix, together with its Attribution Parties (as defined in the warrants) would beneficially own, as determined in accordance with Section 13(d) of the Securities Exchange Act of 1934, as amended, more than 4.99% of the shares of Common Stock then issued and outstanding after giving effect to such exercise (the "Sermonix Beneficial Ownership Limitation"). As of the date hereof, the Sermonix Beneficial Ownership Limitation does not permit Sermonix to exercise any of its Warrants.

F7 · derivative.expiration_date: The securities were issued to Sermonix Pharmaceuticals, Inc. ("Sermonix") in exchange for the grant of certain licenses and rights by Sermonix to the Issuer. The Pre-Funded Warrants will become exercisable upon receipt by the Issuer of stockholder approval such that the Pre-Funded Warrants can be exercised at any time without restriction or additional stockholder approval. The Pre-Funded Warrants do not expire.

F8 · ownership.nature: The securities are directly held by Sermonix. An affiliate of the Advisor currently holds approximately 29% of the outstanding capital stock of Sermonix (excluding securities convertible into shares of Sermonix capital stock). Pursuant to General Instruction 4.b.(iv) of Form 4, the Reporting Persons with this filing have reported the entire amount of Sermonix's interest in the securities, rather than the Reporting Person's proportionate interest in the securities held by Sermonix.

F9 · ownership.nature: Each of Mr. Edelman, the Advisor, the Master Fund and PXV II disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that any of the Reporting Persons is the beneficial owner of such securities for purposes of Section 16 or for any other purposes.

SEC source: 0001012975-25-000979 · form4.xml · derivative · entry 8

PERCEPTIVE ADVISORS LLC · CIK 0001224962 · Director · 10% owner

PERCEPTIVE LIFE SCIENCES MASTER FUND LTD · CIK 0001249675 · Director · 10% owner

EDELMAN JOSEPH · CIK 0001164426 · Director · 10% owner

Perceptive Xontogeny Venture Fund II, LP · CIK 0001851820 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 1,181,101

Underlying: Common Stock · 1,181,101 shares

Expires not disclosed

F1 · price: Represents the combined purchase price for each share of Common Stock and accompanying Series A Warrant and Series B Warrant.

F6 · derivative.exercise_date: The Series B Warrants will be exercisable after the later of (1) June 30, 2026 and (2) the date of the completion of the public readout of topline results of the Issuer's ELAINE-3 trial. (the "Series B Expiration Date") and expire on the earlier of (1) the 30th day following the Series B Expiration Date and (2) December 23, 2030.

F10 · derivative.exercise_date: The terms of the Pre-Funded Warrants, Series A Warrants and Series B Warrants provide that such warrants may not be exercised if, after such exercise, the Reporting Persons, together with their Attribution Parties (as defined in the warrants) would beneficially own, as determined in accordance with Section 13(d) of the Securities Exchange Act of 1934, as amended, more than 19.99% of the shares of Common Stock then issued and outstanding after giving effect to such exercise (the "Beneficial Ownership Limitation"). As of the date hereof, the Beneficial Ownership Limitation does not permit the Master Fund or PXV II to exercise any of their Warrants.

F6 · derivative.expiration_date: The Series B Warrants will be exercisable after the later of (1) June 30, 2026 and (2) the date of the completion of the public readout of topline results of the Issuer's ELAINE-3 trial. (the "Series B Expiration Date") and expire on the earlier of (1) the 30th day following the Series B Expiration Date and (2) December 23, 2030.

F3 · ownership.nature: The securities are directly held by Perceptive Xontogeny Venture Fund II, LP ("PXV II"). Perceptive Venture Advisors, LLC (the "Venture Advisor") serves as the investment manager of PXV II and is controlled by the Advisor, and Perceptive Xontogeny Venture II GP, LLC ("PXV GP") is the general partner of PXV II. Mr. Edelman is the managing member of PXV GP and the Advisor.

F9 · ownership.nature: Each of Mr. Edelman, the Advisor, the Master Fund and PXV II disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that any of the Reporting Persons is the beneficial owner of such securities for purposes of Section 16 or for any other purposes.

SEC source: 0001012975-25-000979 · form4.xml · derivative · entry 7

PERCEPTIVE ADVISORS LLC · CIK 0001224962 · Director · 10% owner

PERCEPTIVE LIFE SCIENCES MASTER FUND LTD · CIK 0001249675 · Director · 10% owner

EDELMAN JOSEPH · CIK 0001164426 · Director · 10% owner

Perceptive Xontogeny Venture Fund II, LP · CIK 0001851820 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 1,279,526

Underlying: Common Stock · 1,279,526 shares

Expires not disclosed

F1 · price: Represents the combined purchase price for each share of Common Stock and accompanying Series A Warrant and Series B Warrant.

F5 · derivative.exercise_date: The Series A Warrants will be exercisable after the earlier of (1) the latest of (a) June 30, 2026, (b) the date on which the Issuer announces the enrollment of the 500th subject or the last subject, whichever is earlier, in its ELAINE-3 trial, and (c) the date on which the U.S. Food and Drug Administration approves or issues a complete response letter to Eli Lilly & Co.'s marketing application for imlunestrant in combination with abemaciclib in breast cancer, and (2) October 31, 2026 (the "Series A Expiration Date") and expire on the earlier of (1) the 30th day following the Series A Expiration Date and (2) December 23, 2030.

F10 · derivative.exercise_date: The terms of the Pre-Funded Warrants, Series A Warrants and Series B Warrants provide that such warrants may not be exercised if, after such exercise, the Reporting Persons, together with their Attribution Parties (as defined in the warrants) would beneficially own, as determined in accordance with Section 13(d) of the Securities Exchange Act of 1934, as amended, more than 19.99% of the shares of Common Stock then issued and outstanding after giving effect to such exercise (the "Beneficial Ownership Limitation"). As of the date hereof, the Beneficial Ownership Limitation does not permit the Master Fund or PXV II to exercise any of their Warrants.

F5 · derivative.expiration_date: The Series A Warrants will be exercisable after the earlier of (1) the latest of (a) June 30, 2026, (b) the date on which the Issuer announces the enrollment of the 500th subject or the last subject, whichever is earlier, in its ELAINE-3 trial, and (c) the date on which the U.S. Food and Drug Administration approves or issues a complete response letter to Eli Lilly & Co.'s marketing application for imlunestrant in combination with abemaciclib in breast cancer, and (2) October 31, 2026 (the "Series A Expiration Date") and expire on the earlier of (1) the 30th day following the Series A Expiration Date and (2) December 23, 2030.

F3 · ownership.nature: The securities are directly held by Perceptive Xontogeny Venture Fund II, LP ("PXV II"). Perceptive Venture Advisors, LLC (the "Venture Advisor") serves as the investment manager of PXV II and is controlled by the Advisor, and Perceptive Xontogeny Venture II GP, LLC ("PXV GP") is the general partner of PXV II. Mr. Edelman is the managing member of PXV GP and the Advisor.

F9 · ownership.nature: Each of Mr. Edelman, the Advisor, the Master Fund and PXV II disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that any of the Reporting Persons is the beneficial owner of such securities for purposes of Section 16 or for any other purposes.

SEC source: 0001012975-25-000979 · form4.xml · derivative · entry 6

PERCEPTIVE ADVISORS LLC · CIK 0001224962 · Director · 10% owner

PERCEPTIVE LIFE SCIENCES MASTER FUND LTD · CIK 0001249675 · Director · 10% owner

EDELMAN JOSEPH · CIK 0001164426 · Director · 10% owner

Perceptive Xontogeny Venture Fund II, LP · CIK 0001851820 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 457,645

Underlying: Common Stock · 457,645 shares

Expires not disclosed

F10 · derivative.exercise_date: The terms of the Pre-Funded Warrants, Series A Warrants and Series B Warrants provide that such warrants may not be exercised if, after such exercise, the Reporting Persons, together with their Attribution Parties (as defined in the warrants) would beneficially own, as determined in accordance with Section 13(d) of the Securities Exchange Act of 1934, as amended, more than 19.99% of the shares of Common Stock then issued and outstanding after giving effect to such exercise (the "Beneficial Ownership Limitation"). As of the date hereof, the Beneficial Ownership Limitation does not permit the Master Fund or PXV II to exercise any of their Warrants.

F4 · derivative.expiration_date: The Pre-Funded Warrants do not expire.

F3 · ownership.nature: The securities are directly held by Perceptive Xontogeny Venture Fund II, LP ("PXV II"). Perceptive Venture Advisors, LLC (the "Venture Advisor") serves as the investment manager of PXV II and is controlled by the Advisor, and Perceptive Xontogeny Venture II GP, LLC ("PXV GP") is the general partner of PXV II. Mr. Edelman is the managing member of PXV GP and the Advisor.

F9 · ownership.nature: Each of Mr. Edelman, the Advisor, the Master Fund and PXV II disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that any of the Reporting Persons is the beneficial owner of such securities for purposes of Section 16 or for any other purposes.

SEC source: 0001012975-25-000979 · form4.xml · derivative · entry 5

PERCEPTIVE ADVISORS LLC · CIK 0001224962 · Director · 10% owner

PERCEPTIVE LIFE SCIENCES MASTER FUND LTD · CIK 0001249675 · Director · 10% owner

EDELMAN JOSEPH · CIK 0001164426 · Director · 10% owner

Perceptive Xontogeny Venture Fund II, LP · CIK 0001851820 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 3,543,307

Underlying: Common Stock · 3,543,307 shares

Expires not disclosed

F1 · price: Represents the combined purchase price for each share of Common Stock and accompanying Series A Warrant and Series B Warrant.

F6 · derivative.exercise_date: The Series B Warrants will be exercisable after the later of (1) June 30, 2026 and (2) the date of the completion of the public readout of topline results of the Issuer's ELAINE-3 trial. (the "Series B Expiration Date") and expire on the earlier of (1) the 30th day following the Series B Expiration Date and (2) December 23, 2030.

F10 · derivative.exercise_date: The terms of the Pre-Funded Warrants, Series A Warrants and Series B Warrants provide that such warrants may not be exercised if, after such exercise, the Reporting Persons, together with their Attribution Parties (as defined in the warrants) would beneficially own, as determined in accordance with Section 13(d) of the Securities Exchange Act of 1934, as amended, more than 19.99% of the shares of Common Stock then issued and outstanding after giving effect to such exercise (the "Beneficial Ownership Limitation"). As of the date hereof, the Beneficial Ownership Limitation does not permit the Master Fund or PXV II to exercise any of their Warrants.

F6 · derivative.expiration_date: The Series B Warrants will be exercisable after the later of (1) June 30, 2026 and (2) the date of the completion of the public readout of topline results of the Issuer's ELAINE-3 trial. (the "Series B Expiration Date") and expire on the earlier of (1) the 30th day following the Series B Expiration Date and (2) December 23, 2030.

F2 · ownership.nature: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor.

F9 · ownership.nature: Each of Mr. Edelman, the Advisor, the Master Fund and PXV II disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that any of the Reporting Persons is the beneficial owner of such securities for purposes of Section 16 or for any other purposes.

SEC source: 0001012975-25-000979 · form4.xml · derivative · entry 4

PERCEPTIVE ADVISORS LLC · CIK 0001224962 · Director · 10% owner

PERCEPTIVE LIFE SCIENCES MASTER FUND LTD · CIK 0001249675 · Director · 10% owner

EDELMAN JOSEPH · CIK 0001164426 · Director · 10% owner

Perceptive Xontogeny Venture Fund II, LP · CIK 0001851820 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 3,838,583

Underlying: Common Stock · 3,838,583 shares

Expires not disclosed

F1 · price: Represents the combined purchase price for each share of Common Stock and accompanying Series A Warrant and Series B Warrant.

F5 · derivative.exercise_date: The Series A Warrants will be exercisable after the earlier of (1) the latest of (a) June 30, 2026, (b) the date on which the Issuer announces the enrollment of the 500th subject or the last subject, whichever is earlier, in its ELAINE-3 trial, and (c) the date on which the U.S. Food and Drug Administration approves or issues a complete response letter to Eli Lilly & Co.'s marketing application for imlunestrant in combination with abemaciclib in breast cancer, and (2) October 31, 2026 (the "Series A Expiration Date") and expire on the earlier of (1) the 30th day following the Series A Expiration Date and (2) December 23, 2030.

F10 · derivative.exercise_date: The terms of the Pre-Funded Warrants, Series A Warrants and Series B Warrants provide that such warrants may not be exercised if, after such exercise, the Reporting Persons, together with their Attribution Parties (as defined in the warrants) would beneficially own, as determined in accordance with Section 13(d) of the Securities Exchange Act of 1934, as amended, more than 19.99% of the shares of Common Stock then issued and outstanding after giving effect to such exercise (the "Beneficial Ownership Limitation"). As of the date hereof, the Beneficial Ownership Limitation does not permit the Master Fund or PXV II to exercise any of their Warrants.

F5 · derivative.expiration_date: The Series A Warrants will be exercisable after the earlier of (1) the latest of (a) June 30, 2026, (b) the date on which the Issuer announces the enrollment of the 500th subject or the last subject, whichever is earlier, in its ELAINE-3 trial, and (c) the date on which the U.S. Food and Drug Administration approves or issues a complete response letter to Eli Lilly & Co.'s marketing application for imlunestrant in combination with abemaciclib in breast cancer, and (2) October 31, 2026 (the "Series A Expiration Date") and expire on the earlier of (1) the 30th day following the Series A Expiration Date and (2) December 23, 2030.

F2 · ownership.nature: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor.

F9 · ownership.nature: Each of Mr. Edelman, the Advisor, the Master Fund and PXV II disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that any of the Reporting Persons is the beneficial owner of such securities for purposes of Section 16 or for any other purposes.

SEC source: 0001012975-25-000979 · form4.xml · derivative · entry 3

PERCEPTIVE ADVISORS LLC · CIK 0001224962 · Director · 10% owner

PERCEPTIVE LIFE SCIENCES MASTER FUND LTD · CIK 0001249675 · Director · 10% owner

EDELMAN JOSEPH · CIK 0001164426 · Director · 10% owner

Perceptive Xontogeny Venture Fund II, LP · CIK 0001851820 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 1,372,935

Underlying: Common Stock · 1,372,935 shares

Expires not disclosed

F10 · derivative.exercise_date: The terms of the Pre-Funded Warrants, Series A Warrants and Series B Warrants provide that such warrants may not be exercised if, after such exercise, the Reporting Persons, together with their Attribution Parties (as defined in the warrants) would beneficially own, as determined in accordance with Section 13(d) of the Securities Exchange Act of 1934, as amended, more than 19.99% of the shares of Common Stock then issued and outstanding after giving effect to such exercise (the "Beneficial Ownership Limitation"). As of the date hereof, the Beneficial Ownership Limitation does not permit the Master Fund or PXV II to exercise any of their Warrants.

F4 · derivative.expiration_date: The Pre-Funded Warrants do not expire.

F2 · ownership.nature: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor.

F9 · ownership.nature: Each of Mr. Edelman, the Advisor, the Master Fund and PXV II disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that any of the Reporting Persons is the beneficial owner of such securities for purposes of Section 16 or for any other purposes.

SEC source: 0001012975-25-000979 · form4.xml · nonDerivative · entry 2

PERCEPTIVE ADVISORS LLC · CIK 0001224962 · Director · 10% owner

PERCEPTIVE LIFE SCIENCES MASTER FUND LTD · CIK 0001249675 · Director · 10% owner

EDELMAN JOSEPH · CIK 0001164426 · Director · 10% owner

Perceptive Xontogeny Venture Fund II, LP · CIK 0001851820 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 329,756

F1 · price: Represents the combined purchase price for each share of Common Stock and accompanying Series A Warrant and Series B Warrant.

F3 · ownership.nature: The securities are directly held by Perceptive Xontogeny Venture Fund II, LP ("PXV II"). Perceptive Venture Advisors, LLC (the "Venture Advisor") serves as the investment manager of PXV II and is controlled by the Advisor, and Perceptive Xontogeny Venture II GP, LLC ("PXV GP") is the general partner of PXV II. Mr. Edelman is the managing member of PXV GP and the Advisor.

F9 · ownership.nature: Each of Mr. Edelman, the Advisor, the Master Fund and PXV II disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that any of the Reporting Persons is the beneficial owner of such securities for purposes of Section 16 or for any other purposes.

SEC source: 0001012975-25-000979 · form4.xml · nonDerivative · entry 1

PERCEPTIVE ADVISORS LLC · CIK 0001224962 · Director · 10% owner

PERCEPTIVE LIFE SCIENCES MASTER FUND LTD · CIK 0001249675 · Director · 10% owner

EDELMAN JOSEPH · CIK 0001164426 · Director · 10% owner

Perceptive Xontogeny Venture Fund II, LP · CIK 0001851820 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 1,529,566

F1 · price: Represents the combined purchase price for each share of Common Stock and accompanying Series A Warrant and Series B Warrant.

F2 · ownership.nature: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor.

F9 · ownership.nature: Each of Mr. Edelman, the Advisor, the Master Fund and PXV II disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that any of the Reporting Persons is the beneficial owner of such securities for purposes of Section 16 or for any other purposes.

SEC source: 0001822499-26-000002 · form4-01062026_120110.xml · nonDerivative · entry 1

CHURCH KEVIN · CIK 0001822499 · CHIEF SCIENTIFIC OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 17,890

F1 · security: 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 May 19, 2025 through November 18, 2025. This transaction is also exempt under Rule 16b-3(c).

F2 · security: 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").

F3 · date: The Purchase Period ended November 18, 2025 and is the Purchase Period comprising the Offering Period (as defined in the ESPP) that began May 19, 2025.

F4 · price: In accordance with the ESPP, these shares were purchased based on 85% of the closing price on November 18, 2025.

SEC source: 0002037968-26-000002 · form4-01062026_120150.xml · nonDerivative · entry 1

Renninger Robert · CIK 0002037968 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 11,918

F1 · security: 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 May 19, 2025 through November 18, 2025. This transaction is also exempt under Rule 16b-3(c).

F2 · security: 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").

F3 · date: The Purchase Period ended November 18, 2025 and is the Purchase Period comprising the Offering Period (as defined in the ESPP) that began May 19, 2025.

F4 · price: In accordance with the ESPP, these shares were purchased based on 85% of the closing price on November 18, 2025.

SEC source: 0001415889-25-019070 · form4-07022025_080725.xml · nonDerivative · entry 3

CHURCH KEVIN · CIK 0001822499 · CHIEF SCIENTIFIC OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 168,901

F4 · kind: 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.

F5 · price: 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 $0.2854 to $0.3031, 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.

SEC source: 0001415889-25-019064 · form4-07022025_080705.xml · nonDerivative · entry 3

Renninger Robert · CIK 0002037968 · SVP, Finance and Accounting

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 109,186

F4 · kind: 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.

F5 · price: 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 $0.2854 to $0.3031, 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.

SEC source: 0001415889-25-019066 · form4-07022025_080700.xml · nonDerivative · entry 2

Worthington Mark · CIK 0001861464 · General Counsel and CCO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 111,875

F1 · kind: 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.

F2 · price: 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 $0.2854 to $0.3031, 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.

SEC source: 0001415889-25-019069 · form4-07022025_080737.xml · nonDerivative · entry 2

Litton Mark James · CIK 0001604834 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 325,802

F1 · kind: 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.

F2 · price: 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 $0.2854 to $0.3031, 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.

SEC source: 0001415889-25-019068 · form4-07022025_080743.xml · nonDerivative · entry 2

San Martin Javier · CIK 0001794629 · CHIEF MEDICAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 71,665

F1 · kind: 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.

F2 · price: 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 $0.2854 to $0.3031, 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.

SEC source: 0001415889-25-019070 · form4-07022025_080725.xml · derivative · entry 4

CHURCH KEVIN · CIK 0001822499 · CHIEF SCIENTIFIC OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 36,667

Underlying: Common Stock · 36,666 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F6 · security: RSUs convert into common stock on a one-for-one basis.

F7 · derivative.exercise_price: Each RSU represents a contingent right to receive one (1) share of Issuer's common stock.

F8 · derivative.exercise_date: On October 1, 2024, the reporting person was granted 110,000 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.

F8 · derivative.expiration_date: On October 1, 2024, the reporting person was granted 110,000 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.

SEC source: 0001415889-25-019070 · form4-07022025_080725.xml · nonDerivative · entry 2

CHURCH KEVIN · CIK 0001822499 · CHIEF SCIENTIFIC OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 177,427

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001415889-25-019064 · form4-07022025_080705.xml · derivative · entry 4

Renninger Robert · CIK 0002037968 · SVP, Finance and Accounting

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 12,359

Underlying: Common Stock · 12,359 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F6 · security: RSUs convert into common stock on a one-for-one basis.

F7 · derivative.exercise_price: Each RSU represents a contingent right to receive one (1) share of Issuer's common stock.

F8 · derivative.exercise_date: On October 1, 2024, the reporting person was granted 37,077 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.

F8 · derivative.expiration_date: On October 1, 2024, the reporting person was granted 37,077 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.

SEC source: 0001415889-25-019064 · form4-07022025_080705.xml · nonDerivative · entry 2

Renninger Robert · CIK 0002037968 · SVP, Finance and Accounting

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 112,083

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001415889-25-019066 · form4-07022025_080700.xml · derivative · entry 3

Worthington Mark · CIK 0001861464 · General Counsel and CCO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 36,667

Underlying: Common Stock · 36,666 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · security: RSUs convert into common stock on a one-for-one basis.

F4 · derivative.exercise_price: Each RSU represents a contingent right to receive one (1) share of Issuer's common stock.

F5 · derivative.exercise_date: On October 1, 2024, the reporting person was granted 110,000 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.

F5 · derivative.expiration_date: On October 1, 2024, the reporting person was granted 110,000 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.

SEC source: 0001415889-25-019066 · form4-07022025_080700.xml · nonDerivative · entry 1

Worthington Mark · CIK 0001861464 · General Counsel and CCO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 120,401

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001415889-25-019069 · form4-07022025_080737.xml · derivative · entry 6

Litton Mark James · CIK 0001604834 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 108,333

Underlying: Common Stock · 108,334 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F6 · security: RSUs convert into common stock on a one-for-one basis.

F7 · derivative.exercise_price: Each RSU represents a contingent right to receive one (1) share of Issuer's common stock.

F8 · derivative.exercise_date: On October 1, 2024, the reporting person was granted 325,000 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.

F8 · derivative.expiration_date: On October 1, 2024, the reporting person was granted 325,000 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.

SEC source: 0001415889-25-019069 · form4-07022025_080737.xml · nonDerivative · entry 1

Litton Mark James · CIK 0001604834 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 350,925

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001415889-25-019068 · form4-07022025_080743.xml · derivative · entry 3

San Martin Javier · CIK 0001794629 · CHIEF MEDICAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 46,667

Underlying: Common Stock · 46,666 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · security: RSUs convert into common stock on a one-for-one basis.

F4 · derivative.exercise_price: Each RSU represents a contingent right to receive one (1) share of Issuer's common stock.

F5 · derivative.exercise_date: On October 1, 2024, the reporting person was granted 140,000 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.

F5 · derivative.expiration_date: On October 1, 2024, the reporting person was granted 140,000 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.

SEC source: 0001415889-25-019068 · form4-07022025_080743.xml · nonDerivative · entry 1

San Martin Javier · CIK 0001794629 · CHIEF MEDICAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 82,507

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001415889-25-015438 · form4-06032025_090642.xml · derivative · entry 1

EDELMAN JOSEPH · CIK 0001164426 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,900

Underlying: Common Stock · 20,900 shares

Expires 2035-05-29

F1 · derivative.exercise_date: The shares subject to the option will vest on the earlier of (i) May 30, 2026, or (ii) the day immediately before the date of the next annual meeting of the Issuer's stockholders that occurs after May 30, 2025. The option reported was granted pursuant to the terms of the Issuer's Outside Director Compensation Policy.

SEC source: 0001415889-25-015431 · form4-06032025_090653.xml · derivative · entry 1

PICKERING GRANT · CIK 0001258693 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,900

Underlying: Common Stock · 20,900 shares

Expires 2035-05-29

F1 · derivative.exercise_date: The shares subject to the option will vest on the earlier of (i) May 30, 2026, or (ii) the day immediately before the date of the next annual meeting of the Issuer's stockholders that occurs after May 30, 2025. The option reported was granted pursuant to the terms of the Issuer's Outside Director Compensation Policy.

SEC source: 0001415889-25-015441 · form4-06032025_090659.xml · derivative · entry 1

FLUKE JOHN M JR · CIK 0001191906 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,900

Underlying: Common Stock · 20,900 shares

Expires 2035-05-29

F1 · derivative.exercise_date: The shares subject to the option will vest on the earlier of (i) May 30, 2026, or (ii) the day immediately before the date of the next annual meeting of the Issuer's stockholders that occurs after May 30, 2025. The option reported was granted pursuant to the terms of the Issuer's Outside Director Compensation Policy.

SEC source: 0001415889-25-015436 · form4-06032025_090605.xml · derivative · entry 1

JOHNSON JAMES A · CIK 0001225501 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,900

Underlying: Common Stock · 20,900 shares

Expires 2035-05-29

F1 · derivative.exercise_date: The shares subject to the option will vest on the earlier of (i) May 30, 2026, or (ii) the day immediately before the date of the next annual meeting of the Issuer's stockholders that occurs after May 30, 2025. The option reported was granted pursuant to the terms of the Issuer's Outside Director Compensation Policy.

SEC source: 0001415889-25-015440 · form4-06032025_090615.xml · derivative · entry 1

Panzara Michael A. · CIK 0001679039 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,900

Underlying: Common Stock · 20,900 shares

Expires 2035-05-29

F1 · derivative.exercise_date: The shares subject to the option will vest on the earlier of (i) May 30, 2026, or (ii) the day immediately before the date of the next annual meeting of the Issuer's stockholders that occurs after May 30, 2025. The option reported was granted pursuant to the terms of the Issuer's Outside Director Compensation Policy.

SEC source: 0001415889-25-015439 · form4-06032025_090622.xml · derivative · entry 1

Romano Kelly A · CIK 0001722055 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,900

Underlying: Common Stock · 20,900 shares

Expires 2035-05-29

F1 · derivative.exercise_date: The shares subject to the option will vest on the earlier of (i) May 30, 2026, or (ii) the day immediately before the date of the next annual meeting of the Issuer's stockholders that occurs after May 30, 2025. The option reported was granted pursuant to the terms of the Issuer's Outside Director Compensation Policy.

SEC source: 0001415889-25-015434 · form4-06032025_090644.xml · derivative · entry 1

Kosacz Barbara · CIK 0001763316 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,900

Underlying: Common Stock · 20,900 shares

Expires 2035-05-29

F1 · derivative.exercise_date: The shares subject to the option will vest on the earlier of (i) May 30, 2026, or (ii) the day immediately before the date of the next annual meeting of the Issuer's stockholders that occurs after May 30, 2025. The option reported was granted pursuant to the terms of the Issuer's Outside Director Compensation Policy.

SEC source: 0001415889-25-019070 · form4-07022025_080725.xml · nonDerivative · entry 1

CHURCH KEVIN · CIK 0001822499 · CHIEF SCIENTIFIC OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 140,761

F1 · security: 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, 2024 through May 19, 2025. This transaction is exempt under Rule 16b-3(c).

F2 · date: The Purchase Period ended March 19, 2025 and is the Purchase Period comprising the Offering Period (as defined in the ESPP) that began November 18, 2024.

F3 · price: In accordance with the ESPP, these shares were purchased based on 85% of the closing price on May 19, 2025.

SEC source: 0001415889-25-019064 · form4-07022025_080705.xml · nonDerivative · entry 1

Renninger Robert · CIK 0002037968 · SVP, Finance and Accounting

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 99,724

F1 · security: 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, 2024 through May 19, 2025. This transaction is exempt under Rule 16b-3(c).

F2 · date: The Purchase Period ended March 19, 2025 and is the Purchase Period comprising the Offering Period (as defined in the ESPP) that began November 18, 2024.

F3 · price: In accordance with the ESPP, these shares were purchased based on 85% of the closing price on May 19, 2025.

SEC source: 0001415889-25-006552 · form4-03042025_090334.xml · derivative · entry 2

CHURCH KEVIN · CIK 0001822499 · CHIEF SCIENTIFIC OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 58,563

Underlying: Common Stock · 58,563 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one (1) share of Issuer's common stock.

F3 · derivative.exercise_date: 100% of the RSUs shall vest on the one (1) year anniversary of the grant date, 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 vesting date.

F3 · derivative.expiration_date: 100% of the RSUs shall vest on the one (1) year anniversary of the grant date, 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 vesting date.

SEC source: 0001415889-25-006552 · form4-03042025_090334.xml · derivative · entry 1

CHURCH KEVIN · CIK 0001822499 · CHIEF SCIENTIFIC OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 87,845

Underlying: Common Stock · 87,845 shares

Expires 2035-03-02

F1 · derivative.exercise_date: The shares subject to the option shall be scheduled to vest monthly over a term of 48 months on the monthly anniversaries of the grant date, subject to the optionee continuing to be a Service Provider (as defined in the Issuer's 2020 Equity Incentive Plan) through the applicable vesting dates.

SEC source: 0001415889-25-006553 · form4-03042025_090322.xml · derivative · entry 3

Renninger Robert · CIK 0002037968 · SVP, Finance and Accounting

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 39,000

Underlying: Common Stock · 39,000 shares

Expires not disclosed

F3 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one (1) share of Issuer's common stock.

F4 · derivative.exercise_date: 100% of the RSUs shall vest on the one (1) year anniversary of the grant date, 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 vesting date.

F4 · derivative.expiration_date: 100% of the RSUs shall vest on the one (1) year anniversary of the grant date, 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 vesting date.

SEC source: 0001415889-25-006553 · form4-03042025_090322.xml · derivative · entry 2

Renninger Robert · CIK 0002037968 · SVP, Finance and Accounting

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 73,350

Underlying: Common Stock · 73,350 shares

Expires 2035-03-02

F2 · derivative.exercise_date: One fourth (1/4th) of shares subject to the option shall be scheduled to vest on the one (1)-year anniversary of the anniversary of the grant date, and one thirty-sixth (1/36th) of the Shares subject to the Option each month thereafter on the same day of the month as the grant date subject to the optionee continuing to be a Service Provider (as defined in the Issuer's 2020 Equity Incentive Plan) through the applicable vesting dates.