LONA

SEC source: 0001415889-25-006553 · form4-03042025_090322.xml · derivative · entry 1

Renninger Robert · CIK 0002037968 · SVP, Finance and Accounting

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 58,500

Underlying: Common Stock · 58,500 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: 0001415889-25-006531 · form4-03042025_090321.xml · derivative · entry 2

Worthington Mark · CIK 0001861464 · General Counsel and CCO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 57,263

Underlying: Common Stock · 57,263 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: 0001415889-25-006531 · form4-03042025_090321.xml · derivative · entry 1

Worthington Mark · CIK 0001861464 · General Counsel and CCO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 85,895

Underlying: Common Stock · 85,895 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: 0001415889-25-006536 · form4-03042025_090341.xml · derivative · entry 2

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 222,543

Underlying: Common Stock · 222,543 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: 0001415889-25-006536 · form4-03042025_090341.xml · derivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 333,815

Underlying: Common Stock · 333,815 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: 0001415889-25-006534 · form4-03042025_090304.xml · derivative · entry 2

San Martin Javier · CIK 0001794629 · CHIEF MEDICAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 74,180

Underlying: Common Stock · 74,180 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: 0001415889-25-006534 · form4-03042025_090304.xml · derivative · entry 1

San Martin Javier · CIK 0001794629 · CHIEF MEDICAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 111,270

Underlying: Common Stock · 111,270 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: 0001415889-25-007858 · form4a-03122025_090335.xml · derivative · entry 1

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

F1 · 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 grant date, and one thirty-sixth (1/36th) of the remaining 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.

SEC source: 0001415889-25-000534 · form4-01032025_100111.xml · nonDerivative · entry 3

CHURCH KEVIN · CIK 0001822499 · CHIEF SCIENTIFIC OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 130,761

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 $0.5414 to $0.5939, 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: 0001415889-25-000527 · form4-01032025_100141.xml · nonDerivative · entry 3

Renninger Robert · CIK 0002037968 · VP of Finance

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 89,724

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 $0.5414 to $0.5939, 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: 0001415889-25-000525 · form4-01032025_100141.xml · nonDerivative · entry 3

Worthington Mark · CIK 0001861464 · General Counsel and CCO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 83,735

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 $0.5414 to $0.5939, 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: 0001415889-25-000536 · form4-01032025_100106.xml · nonDerivative · entry 2

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 242,591

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 $0.5414 to $0.5939, 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: 0001415889-25-000544 · form4-01032025_100122.xml · nonDerivative · entry 2

San Martin Javier · CIK 0001794629 · CHIEF MEDICAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 35,841

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 $0.5414 to $0.5939, 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: 0001415889-25-000534 · form4-01032025_100111.xml · derivative · entry 4

CHURCH KEVIN · CIK 0001822499 · CHIEF SCIENTIFIC OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 73,333

Underlying: Common Stock · 36,667 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.

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: 0001415889-25-000534 · form4-01032025_100111.xml · nonDerivative · entry 2

CHURCH KEVIN · CIK 0001822499 · CHIEF SCIENTIFIC OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 139,271

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: 0001415889-25-000527 · form4-01032025_100141.xml · derivative · entry 4

Renninger Robert · CIK 0002037968 · VP of Finance

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 24,718

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: 0001415889-25-000527 · form4-01032025_100141.xml · nonDerivative · entry 2

Renninger Robert · CIK 0002037968 · VP of Finance

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 92,605

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: 0001415889-25-000525 · form4-01032025_100141.xml · derivative · entry 4

Worthington Mark · CIK 0001861464 · General Counsel and CCO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 73,333

Underlying: Common Stock · 36,667 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.

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: 0001415889-25-000525 · form4-01032025_100141.xml · nonDerivative · entry 2

Worthington Mark · CIK 0001861464 · General Counsel and CCO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 92,245

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: 0001415889-25-000536 · form4-01032025_100106.xml · derivative · entry 6

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 216,667

Underlying: Common Stock · 108,333 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 3, 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 3, 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: 0001415889-25-000536 · form4-01032025_100106.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 267,698

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: 0001415889-25-000544 · form4-01032025_100122.xml · derivative · entry 3

San Martin Javier · CIK 0001794629 · CHIEF MEDICAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 93,333

Underlying: Common Stock · 46,667 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.

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: 0001415889-25-000544 · form4-01032025_100122.xml · nonDerivative · entry 1

San Martin Javier · CIK 0001794629 · CHIEF MEDICAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 46,667

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: 0001415889-25-000534 · form4-01032025_100111.xml · nonDerivative · entry 1

CHURCH KEVIN · CIK 0001822499 · CHIEF SCIENTIFIC OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 102,604

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 20, 2024 through November 18, 2024. This transaction is exempt under Rule 16b-3(c).

F2 · date: The Purchase Period ended November 18, 2024 and is the Purchase Period comprising the Offering Period (as defined in the ESPP) that began May 20, 2024.

F3 · price: In accordance with the ESPP, these shares were purchased based on 85% of the closing price on November 18, 2024.

SEC source: 0001415889-25-000527 · form4-01032025_100141.xml · nonDerivative · entry 1

Renninger Robert · CIK 0002037968 · VP of Finance

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 80,246

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 20, 2024 through November 18, 2024. This transaction is also exempt under Rule 16b-3(c).

F2 · date: The Purchase Period ended November 18, 2024 and is the Purchase Period comprising the Offering Period (as defined in the ESPP) that began May 20, 2024.

F3 · price: In accordance with the ESPP, these shares were purchased based on 85% of the closing price on November 18, 2024.

SEC source: 0001415889-25-000525 · form4-01032025_100141.xml · nonDerivative · entry 1

Worthington Mark · CIK 0001861464 · General Counsel and CCO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 55,578

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 20, 2024 through November 18, 2024. This transaction is also exempt under Rule 16b-3(c).

F2 · date: The Purchase Period ended November 18, 2024 and is the Purchase Period comprising the Offering Period (as defined in the ESPP) that began May 20, 2024.

F3 · price: In accordance with the ESPP, these shares were purchased based on 85% of the closing price on November 18, 2024.

SEC source: 0001415889-24-024712 · form4a-10042024_011037.xml · derivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 325,000

Underlying: Common Stock · 325,000 shares

Expires 2034-10-02

F1 · derivative.exercise_price: The original Form 4 incorrectly reported the Exercise Price as $0.4499.

F2 · derivative.exercise_date: One-third (1/3rd) of the shares subject to the option shall 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 through the applicable vesting dates.

SEC source: 0001415889-24-024680 · form4-10032024_111021.xml · derivative · entry 2

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 325,000

Underlying: Common Stock · 325,000 shares

Expires 2034-10-02

F3 · derivative.exercise_date: One-third (1/3rd) of the shares subject to the option shall 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 through the applicable vesting dates.

SEC source: 0001415889-24-024680 · form4-10032024_111021.xml · derivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 325,000

Underlying: Common Stock · 325,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one (1) share of Issuer's common stock.

F2 · derivative.exercise_date: One-third (1/3rd) of the RSUs shall 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.

F2 · derivative.expiration_date: One-third (1/3rd) of the RSUs shall 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: 0001415889-24-024684 · form4-10032024_111019.xml · derivative · entry 2

CHURCH KEVIN · CIK 0001822499 · CHIEF SCIENTIFIC OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 110,000

Underlying: Common Stock · 110,000 shares

Expires 2034-09-30

F3 · derivative.exercise_date: One-third (1/3rd) of the shares subject to the option shall 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 through the applicable vesting dates.

SEC source: 0001415889-24-024684 · form4-10032024_111019.xml · derivative · entry 1

CHURCH KEVIN · CIK 0001822499 · CHIEF SCIENTIFIC OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 110,000

Underlying: Common Stock · 110,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one (1) share of Issuer's common stock.

F2 · derivative.exercise_date: One-third (1/3rd) of the RSUs shall 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.

F2 · derivative.expiration_date: One-third (1/3rd) of the RSUs shall 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: 0001415889-24-024686 · form4-10032024_111030.xml · derivative · entry 2

Renninger Robert · CIK 0002037968 · VP of Finance

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 37,077

Underlying: Common Stock · 37,077 shares

Expires 2034-09-30

F3 · derivative.exercise_date: One-third (1/3rd) of the shares subject to the option shall 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 through the applicable vesting dates.

SEC source: 0001415889-24-024686 · form4-10032024_111030.xml · derivative · entry 1

Renninger Robert · CIK 0002037968 · VP of Finance

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 37,077

Underlying: Common Stock · 37,077 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one (1) share of Issuer's common stock.

F2 · derivative.exercise_date: One-third (1/3rd) of the RSUs shall 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.

F2 · derivative.expiration_date: One-third (1/3rd) of the RSUs shall 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: 0001415889-24-024683 · form4-10032024_111033.xml · derivative · entry 2

Worthington Mark · CIK 0001861464 · General Counsel and CCO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 110,000

Underlying: Common Stock · 110,000 shares

Expires 2034-09-30

F3 · derivative.exercise_date: One-third (1/3rd) of the shares subject to the option shall 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 through the applicable vesting dates.

SEC source: 0001415889-24-024683 · form4-10032024_111033.xml · derivative · entry 1

Worthington Mark · CIK 0001861464 · General Counsel and CCO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 110,000

Underlying: Common Stock · 110,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one (1) share of Issuer's common stock.

F2 · derivative.exercise_date: One-third (1/3rd) of the RSUs shall 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.

F2 · derivative.expiration_date: One-third (1/3rd) of the RSUs shall 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: 0001415889-24-024685 · form4-10032024_111055.xml · derivative · entry 2

San Martin Javier · CIK 0001794629 · CHIEF MEDICAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 140,000

Underlying: Common Stock · 140,000 shares

Expires 2034-09-30

F3 · derivative.exercise_date: One-third (1/3rd) of the shares subject to the option shall 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 through the applicable vesting dates.

SEC source: 0001415889-24-024685 · form4-10032024_111055.xml · derivative · entry 1

San Martin Javier · CIK 0001794629 · CHIEF MEDICAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 140,000

Underlying: Common Stock · 140,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one (1) share of Issuer's common stock.

F2 · derivative.exercise_date: One-third (1/3rd) of the RSUs shall 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.

F2 · derivative.expiration_date: One-third (1/3rd) of the RSUs shall 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: 0001415889-24-022985 · form4-09052024_110908.xml · nonDerivative · entry 3

CHURCH KEVIN · CIK 0001822499 · CHIEF SCIENTIFIC OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 92,684

F6 · kind: Represents shares of common stock sold to cover tax withholding and remittance obligations in connection with the vesting of RSUs 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.

F7 · 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 $0.5505 to $0.5751, 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: 0001415889-24-022984 · form4-09052024_110917.xml · nonDerivative · entry 3

Worthington Mark · CIK 0001861464 · GENERAL COUNSEL

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 51,927

F6 · kind: Represents shares of common stock sold to cover tax withholding and remittance obligations in connection with the vesting of RSUs 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.

F7 · 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 $0.5505 to $0.5751, 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: 0001415889-24-022986 · form4-09052024_110919.xml · nonDerivative · entry 2

Lenington Rachel · CIK 0001861194 · COO and CDO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,870

F3 · kind: Represents shares of common stock sold to cover tax withholding and remittance obligations in connection with the vesting of RSUs 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.

F4 · 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 $0.5505 to $0.5751, 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: 0001415889-24-022987 · form4-09052024_110900.xml · nonDerivative · entry 3

Gengos Andrew · CIK 0001563623 · CFO and Chief Business Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 97,532

F6 · kind: Represents shares of common stock sold to cover tax withholding and remittance obligations in connection with the vesting of RSUs 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.

F7 · 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 $0.5505 to $0.5751, 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: 0001415889-24-022983 · form4-09052024_110923.xml · nonDerivative · entry 2

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 159,365

F3 · kind: Represents shares of common stock sold to cover tax withholding and remittance obligations in connection with the vesting of RSUs 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.

F4 · 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 $0.5505 to $0.5751, 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: 0001415889-24-022985 · form4-09052024_110908.xml · nonDerivative · entry 2

CHURCH KEVIN · CIK 0001822499 · CHIEF SCIENTIFIC OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 95,209

F4 · date: On November 3, 2021, the reporting person was granted restricted stock units ("RSUs") representing 30,000 shares of Common Stock of the Issuer. The RSUs are scheduled to vest according to the following amended vesting schedule: (1) one third (1/3rd) of the number of shares subject to the RSU award vest at the completion of the public readout of topline results of the Issuer's ACT-AD Phase 2 clinical trial; (2) one third (1/3rd) of the number of shares subject to the RSU award vest as of the date the Compensation Committee (the "Committee") determines that enrollment of the Company's LIFT-AD Phase 2/3 clinical trial has been completed, and (3) one third (1/3rd) of the number of shares subject to the RSU award vest as of the completion of the public readout of topline results of the Issuer's LIFT-AD Phase 2/3 clinical trial (the "LIFT-AD Readout"), in each case subject to continued service with the Issuer through the applicable vesting date.

F5 · shares: On September 3, 2024, the Company completed the public readout of the topline results of its LIFT-AD Phase 2/3 clinical trial and 10,000 RSUs vested on such date.

SEC source: 0001415889-24-022984 · form4-09052024_110917.xml · nonDerivative · entry 2

Worthington Mark · CIK 0001861464 · GENERAL COUNSEL

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 54,452

F4 · date: On November 3, 2021, the reporting person was granted restricted stock units ("RSUs") representing 30,000 shares of Common Stock of the Issuer. The RSUs are scheduled to vest according to the following amended vesting schedule: (1) one third (1/3rd) of the number of shares subject to the RSU award vest at the completion of the public readout of topline results of the Issuer's ACT-AD Phase 2 clinical trial; (2) one third (1/3rd) of the number of shares subject to the RSU award vest as of the date the Compensation Committee (the "Committee") determines that enrollment of the Company's LIFT-AD Phase 2/3 clinical trial has been completed, and (3) one third (1/3rd) of the number of shares subject to the RSU award vest as of the completion of the public readout of topline results of the Issuer's LIFT-AD Phase 2/3 clinical trial (the "LIFT-AD Readout"), in each case subject to continued service with the Issuer through the applicable vesting date.

F5 · shares: On September 3, 2024, the Company completed the public readout of the topline results of its LIFT-AD Phase 2/3 clinical trial and 10,000 RSUs vested on such date.

SEC source: 0001415889-24-022986 · form4-09052024_110919.xml · nonDerivative · entry 1

Lenington Rachel · CIK 0001861194 · COO and CDO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 23,395

F1 · date: On November 3, 2021, the reporting person was granted restricted stock units ("RSUs") representing 30,000 shares of Common Stock of the Issuer. The RSUs are scheduled to vest according to the following amended vesting schedule: (1) one third (1/3rd) of the number of shares subject to the RSU award vest at the completion of the public readout of topline results of the Issuer's ACT-AD Phase 2 clinical trial; (2) one third (1/3rd) of the number of shares subject to the RSU award vest as of the date the Compensation Committee (the "Committee") determines that enrollment of the Company's LIFT-AD Phase 2/3 clinical trial has been completed, and (3) one third (1/3rd) of the number of shares subject to the RSU award vest as of the completion of the public readout of topline results of the Issuer's LIFT-AD Phase 2/3 clinical trial (the "LIFT-AD Readout"), in each case subject to continued service with the Issuer through the applicable vesting date.

F2 · shares: On September 3, 2024, the Company completed the public readout of the topline results of its LIFT-AD Phase 2/3 clinical trial and 10,000 RSUs vested on such date.

SEC source: 0001415889-24-022987 · form4-09052024_110900.xml · nonDerivative · entry 2

Gengos Andrew · CIK 0001563623 · CFO and Chief Business Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 98,804

F4 · date: On May 18, 2023, the reporting person was granted restricted stock units ("RSUs") representing 10,000 shares of Common Stock of the Issuer. The RSUs were scheduled to vest according to the following amended schedule: (1) fifty percent (50%) of the shares subject to the RSU award vest as of the date the the Compensation Committee (the "Committee" determines that enrollment of the Company's LIFT-AD Phase 2/3 clinical trial has been completed, and (2) the remaining fifty percent (50%) of the shares subject to the RSUs shall vest at the completion of the public readout of topline results of the Company's LIFT-AD Phase 2/3 clinical trial, in each case subject to continued service with the Issuer through the applicable vesting date.

F5 · shares: On September 3, 2024, the Company completed the public readout of the topline results of its LIFT-AD Phase 2/3 clinical trial and 5,000 RSUs vested on such date.

SEC source: 0001415889-24-022983 · form4-09052024_110923.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 164,397

F1 · date: On November 3, 2021, the reporting person was granted restricted stock units ("RSUs") representing 60,000 shares of Common Stock of the Issuer. The RSUs are scheduled to vest according to the following amended vesting schedule: (1) one third (1/3rd) of the number of shares subject to the RSU award vest at the completion of the public readout of topline results of the Issuer's ACT-AD Phase 2 clinical trial; (2) one third (1/3rd) of the number of shares subject to the RSU award vest as of the date the Compensation Committee (the "Committee") determines that enrollment of the Company's LIFT-AD Phase 2/3 clinical trial has been completed, and (3) one third (1/3rd) of the number of shares subject to the RSU award vest as of the completion of the public readout of topline results of the Issuer's LIFT-AD Phase 2/3 clinical trial (the "LIFT-AD Readout"), in each case subject to continued service with the Issuer through the applicable vesting date.

F2 · shares: On September 3, 2024, the Company completed the public readout of the topline results of its LIFT-AD Phase 2/3 clinical trial and 20,000 RSUs vested on such date.

SEC source: 0001415889-24-018177 · form4-06252024_110651.xml · nonDerivative · entry 2

Romano Kelly A · CIK 0001722055 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 80,715

F2 · price: The reported price is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.39 to $2.43, inclusive. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the SEC, upon request, full information regarding the number of shares purchased at each separate price within such range.

SEC source: 0001415889-24-018177 · form4-06252024_110651.xml · nonDerivative · entry 1

Romano Kelly A · CIK 0001722055 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 53,315

F1 · price: The reported price is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.20 to $2.32, inclusive. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the SEC, upon request, full information regarding the number of shares purchased at each separate price within such range.

SEC source: 0001415889-24-014580 · form4-05242024_110543.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 2034-05-23

F1 · derivative.exercise_date: The shares subject to the option will vest on the earlier of (i) May 24, 2025, or (ii) the day immediately before the date of the next annual meeting of the Issuer's stockholders that occurs after May 24, 2024. The option reported was granted pursuant to the terms of the Issuer's Outside Director Compensation Policy.