LONA

SEC source: 0001415889-24-014571 · form4-05242024_100527.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 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.

SEC source: 0001415889-24-014569 · form4-05242024_100557.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 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.

SEC source: 0001415889-24-014578 · form4-05242024_100557.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 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.

SEC source: 0001415889-24-014582 · form4-05242024_110538.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 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.

SEC source: 0001415889-24-014576 · form4-05242024_100520.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 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.

SEC source: 0001415889-24-014573 · form4-05242024_100543.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 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.

SEC source: 0001415889-24-022985 · form4-09052024_110908.xml · nonDerivative · entry 1

CHURCH KEVIN · CIK 0001822499 · CHIEF SCIENTIFIC OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 85,209

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 20, 2023 through May 20, 2024. This transaction is exempt under Rule 16b-3(c).

F2 · date: The Purchase Period ended May 20, 2024 and is the Purchase Period comprising the Offering Period (as defined in the ESPP) that began November 20, 2023.

F3 · price: In accordance with the ESPP, these shares were purchased based on 85% of the closing price on November 20, 2023.

SEC source: 0001415889-24-022984 · form4-09052024_110917.xml · nonDerivative · entry 1

Worthington Mark · CIK 0001861464 · GENERAL COUNSEL

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 44,452

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 20, 2023 through May 20, 2024. This transaction is exempt under Rule 16b-3(c).

F2 · date: The Purchase Period ended May 20, 2024 and is the Purchase Period comprising the Offering Period (as defined in the ESPP) that began November 20, 2023.

F3 · price: In accordance with the ESPP, these shares were purchased based on 85% of the closing price on November 20, 2023.

SEC source: 0001415889-24-022987 · form4-09052024_110900.xml · nonDerivative · entry 1

Gengos Andrew · CIK 0001563623 · CFO and Chief Business Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 93,804

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 20, 2023 through May 20, 2024. This transaction is exempt under Rule 16b-3(c).

F2 · date: The Purchase Period ended May 20, 2024 and is the Purchase Period comprising the Offering Period (as defined in the ESPP) that began November 20, 2023.

F3 · price: In accordance with the ESPP, these shares were purchased based on 85% of the closing price on November 20, 2023.

SEC source: 0001415889-24-010877 · form4-04162024_080456.xml · derivative · entry 1

San Martin Javier · CIK 0001794629 · CHIEF MEDICAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 400,000

Underlying: Common Stock · 400,000 shares

Expires 2034-04-14

F1 · derivative.exercise_date: Twenty-five percent (25%) of the shares subject to the option will vest on the one (1) year anniversary of the date of grant, and one forty-eighth (1/48th) of the shares subject to the option will vest each month thereafter, subject to the optionee continuing to be a Service Provider (as defined in the Issuer's 2024 Inducement Equity Incentive Plan) through the applicable vesting dates.

SEC source: 0001415889-24-004166 · form4-02162024_100218.xml · derivative · entry 1

Litton Mark James · CIK 0001604834 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 650,000

Underlying: Common Stock · 650,000 shares

Expires 2034-02-14

F1 · derivative.exercise_date: 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: 0001415889-24-004159 · form4-02162024_090202.xml · derivative · entry 1

CHURCH KEVIN · CIK 0001822499 · CHIEF SCIENTIFIC OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 220,000

Underlying: Common Stock · 220,000 shares

Expires 2034-02-13

F1 · derivative.exercise_date: 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: 0001415889-24-004165 · form4-02162024_100213.xml · derivative · entry 1

Worthington Mark · CIK 0001861464 · GENERAL COUNSEL

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 220,000

Underlying: Common Stock · 220,000 shares

Expires 2034-02-13

F1 · derivative.exercise_date: 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: 0001415889-24-004157 · form4-02162024_090230.xml · derivative · entry 1

Lenington Rachel · CIK 0001861194 · COO AND CDO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 300,000

Underlying: Common Stock · 300,000 shares

Expires 2034-02-13

F1 · derivative.exercise_date: 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: 0001415889-24-004158 · form4-02162024_090245.xml · derivative · entry 1

Gengos Andrew · CIK 0001563623 · CFO AND CHIEF BUSINESS OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 280,000

Underlying: Common Stock · 280,000 shares

Expires 2034-02-13

F1 · derivative.exercise_date: 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: 0001209191-24-001145 · doc4.xml · nonDerivative · entry 3

Worthington Mark · CIK 0001861464 · General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 34,452

F5 · date: On January 4, 2023, the Committee determined that enrollment of the Company's LIFT-AD Phase 2/3 clinical trial had been completed and 10,000 RSUs vested and settled on such date.

F6 · kind: The reported shares were sold to cover the Issuer's tax withholding obligations in connection with the vesting of RSUs. Such sale was made pursuant to an Issuer-mandated policy and was not subject to discretion.

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 $2.84 to $3.01, 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: 0001209191-24-001138 · doc4.xml · nonDerivative · entry 2

Lenington Rachel · CIK 0001861194 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 13,395

F3 · kind: The reported shares were sold to cover the Issuer's tax withholding obligations in connection with the vesting of RSUs. Such sale was made pursuant to an Issuer-mandated policy and was not subject to discretion.

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 $2.84 to $3.01, 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: 0001209191-24-001150 · doc4.xml · nonDerivative · entry 2

Litton Mark James · CIK 0001604834 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 144,397

F3 · kind: The reported shares were sold to cover the Issuer's tax withholding obligations in connection with the vesting of RSUs. Such sale was made pursuant to an Issuer-mandated policy and was not subject to discretion.

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 $2.84 to $3.01, 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: 0001415889-24-004146 · form4a-02162024_090254.xml · nonDerivative · entry 4

CHURCH KEVIN · CIK 0001822499 · CHIEF SCIENTIFIC OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 80,256

F10 · date: The original Form 4 incorrectly reported the transaction date as 01/05/2023.

F11 · kind: The reported shares were sold to cover the Issuer's tax withholding obligations in connection with the vesting of RSUs. Such sale was made pursuant to an Issuer-mandated policy and was not subject to discretion.

F12 · 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 $2.84 to $3.01, 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: 0001415889-24-004151 · form4a-02162024_090252.xml · nonDerivative · entry 3

Worthington Mark · CIK 0001861464 · GENERAL COUNSEL

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 34,452

F6 · kind: The reported shares were sold to cover the Issuer's tax withholding obligations in connection with the vesting of RSUs. Such sale was made pursuant to an Issuer-mandated policy and was not subject to discretion.

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 $2.84 to $3.01, 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: 0001415889-24-004155 · form4a-02162024_090222.xml · nonDerivative · entry 2

Lenington Rachel · CIK 0001861194 · COO AND CDO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 13,395

F3 · kind: The reported shares were sold to cover the Issuer's tax withholding obligations in connection with the vesting of RSUs. Such sale was made pursuant to an Issuer-mandated policy and was not subject to discretion.

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 $2.84 to $3.01, 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: 0001415889-24-004149 · form4a-02162024_090259.xml · nonDerivative · entry 2

Gengos Andrew · CIK 0001563623 · CFO AND CHIEF BUSINESS OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 83,804

F4 · date: The original Form 4 incorrectly reported the transaction date as 01/05/2023.

F5 · kind: The reported shares were sold to cover the Issuer's tax withholding obligations in connection with the vesting of RSUs. Such sale was made pursuant to an Issuer-mandated policy and was not subject to discretion.

F6 · 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 $2.84 to $3.01, 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: 0001415889-24-004153 · form4a-02162024_090229.xml · nonDerivative · entry 2

Litton Mark James · CIK 0001604834 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 144,397

F3 · kind: The reported shares were sold to cover the Issuer's tax withholding obligations in connection with the vesting of RSUs. Such sale was made pursuant to an Issuer-mandated policy and was not subject to discretion.

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 $2.84 to $3.01, 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: 0001209191-24-001145 · doc4.xml · nonDerivative · entry 2

Worthington Mark · CIK 0001861464 · General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 36,864

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 January 4, 2023, the Committee determined that enrollment of the Company's LIFT-AD Phase 2/3 clinical trial had been completed and 10,000 RSUs vested and settled on such date.

SEC source: 0001209191-24-001138 · doc4.xml · nonDerivative · entry 1

Lenington Rachel · CIK 0001861194 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 15,807

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 January 4, 2023, the Committee determined that enrollment of the Company's LIFT-AD Phase 2/3 clinical trial had been completed and 10,000 RSUs vested and settled on such date.

SEC source: 0001209191-24-001150 · doc4.xml · nonDerivative · entry 1

Litton Mark James · CIK 0001604834 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 149,217

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 January 4, 2023, the Committee determined that enrollment of the Company's LIFT-AD Phase 2/3 clinical trial had been completed and 20,000 RSUs vested and settled on such date.

SEC source: 0001209191-24-001157 · doc4.xml · nonDerivative · entry 1

MOEBIUS HANS · CIK 0001822494 · Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 91,482

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 January 4, 2023, the Committee determined that enrollment of the Company's LIFT-AD Phase 2/3 clinical trial had been completed and 10,000 RSUs vested and settled on such date.

SEC source: 0001415889-24-004146 · form4a-02162024_090254.xml · nonDerivative · entry 3

CHURCH KEVIN · CIK 0001822499 · CHIEF SCIENTIFIC OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 82,668

F7 · 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.

F8 · date: The original Form 4 incorrectly reported the transaction date as 01/04/2023.

F9 · shares: On January 4, 2024, the Committee determined that enrollment of the Company's LIFT-AD Phase 2/3 clinical trial had been completed and 10,000 RSUs vested and settled on such date. The original Form 4 incorrectly reported the determination date as January 4, 2023.

SEC source: 0001415889-24-004151 · form4a-02162024_090252.xml · nonDerivative · entry 2

Worthington Mark · CIK 0001861464 · GENERAL COUNSEL

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 36,864

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 January 4, 2024, the Committee determined that enrollment of the Company's LIFT-AD Phase 2/3 clinical trial had been completed and 10,000 RSUs vested and settled on such date. The original Form 4 incorrectly reported the determination date as January 4, 2023.

SEC source: 0001415889-24-004155 · form4a-02162024_090222.xml · nonDerivative · entry 1

Lenington Rachel · CIK 0001861194 · COO AND CDO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 15,807

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 January 4, 2024, the Committee determined that enrollment of the Company's LIFT-AD Phase 2/3 clinical trial had been completed and 10,000 RSUs vested and settled on such date. The original Form 4 incorrectly reported the determination date as January 4, 2023.

SEC source: 0001415889-24-004149 · form4a-02162024_090259.xml · nonDerivative · entry 1

Gengos Andrew · CIK 0001563623 · CFO AND CHIEF BUSINESS OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 85,012

F1 · 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.

F2 · date: The original Form 4 incorrectly reported the transaction date as 01/04/2023.

F3 · shares: On January 4, 2024, the Committee determined that enrollment of the Company's LIFT-AD Phase 2/3 clinical trial had been completed and 5,000 RSUs vested and settled on such date. The original Form 4 incorrectly reported the determination date as January 4, 2023.

SEC source: 0001415889-24-004153 · form4a-02162024_090229.xml · nonDerivative · entry 1

Litton Mark James · CIK 0001604834 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 149,217

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 January 4, 2024, the Committee determined that enrollment of the Company's LIFT-AD Phase 2/3 clinical trial had been completed and 20,000 RSUs vested and settled on such date. The original Form 4 incorrectly reported the determination date as January 4, 2023.

SEC source: 0001062993-23-023291 · form4.xml · nonDerivative · 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

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 5,402,964

F3 · price: The reported price is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.295 to $2.44, inclusive. The reporting persons undertake to provide the Issuer, any security holder of the Issuer, or the staff of the SEC, upon request, full information regarding the number of purchased at each separate price within such range.

F4 · 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 the Master Fund. Joseph Edelman is the managing member of the Advisor and a director of the Issuer. Each of Mr. Edelman and the Advisor 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, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes.

SEC source: 0001062993-23-023291 · 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

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 5,239,010

F2 · price: The reported price is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.265 to $2.50, inclusive. The reporting persons undertake to provide the Issuer, any security holder of the Issuer, or the staff of the SEC, upon request, full information regarding the number of purchased at each separate price within such range.

F4 · 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 the Master Fund. Joseph Edelman is the managing member of the Advisor and a director of the Issuer. Each of Mr. Edelman and the Advisor 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, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes.

SEC source: 0001062993-23-023291 · 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

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 4,829,412

F1 · price: The reported price is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.195 to $2.31, inclusive. The reporting persons undertake to provide the Issuer, any security holder of the Issuer, or the staff of the SEC, upon request, full information regarding the number of purchased at each separate price within such range.

F4 · 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 the Master Fund. Joseph Edelman is the managing member of the Advisor and a director of the Issuer. Each of Mr. Edelman and the Advisor 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, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes.

SEC source: 0001209191-24-001142 · doc4.xml · nonDerivative · entry 2

CHURCH KEVIN · CIK 0001822499 · Chief Scientific Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 72,668

F4 · security: The reporting person is voluntarily reporting the acquisition of shares of the issuer's common stock pursuant to the ESPP, for the ESPP Purchase Period (as defined in the ESPP) of May 18, 2023 through November 20, 2023. This transaction is also exempt under Rule 16b-3(c).

F5 · date: The Purchase Period ended November 20, 2023 and is the Purchase Period comprising the Offering Period (as defined in the ESPP) that began May 18, 2023.

F6 · price: In accordance with the ESPP, these shares were purchased based on 85% of the closing price on November 20, 2023.

SEC source: 0001415889-24-004146 · form4a-02162024_090254.xml · nonDerivative · entry 2

CHURCH KEVIN · CIK 0001822499 · CHIEF SCIENTIFIC OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 72,668

F4 · security: The reporting person is voluntarily reporting the acquisition of shares of the issuer's common stock pursuant to the ESPP, for the ESPP Purchase Period (as defined in the ESPP) of May 18, 2023 through November 20, 2023. This transaction is also exempt under Rule 16b-3(c).

F5 · date: The Purchase Period ended November 20, 2023 and is the Purchase Period comprising the Offering Period (as defined in the ESPP) that began May 18, 2023.

F6 · price: In accordance with the ESPP, these shares were purchased based on 85% of the closing price on November 20, 2023.

SEC source: 0001209191-23-035951 · doc4.xml · nonDerivative · entry 3

Gengos Andrew · CIK 0001563623 · See Below

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 80,012

F2 · price: The "Amount" and "Price" reported in this Column 4 reflect the aggregate number and weighted-average price, respectively, of shares purchased. These shares were purchased in multiple transactions at prices ranging from $3.43 to $3.44, 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 purchased at each separate price within the ranges set forth herein.

SEC source: 0001209191-23-035951 · doc4.xml · nonDerivative · entry 2

Gengos Andrew · CIK 0001563623 · See Below

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 68,293

SEC source: 0001209191-23-035951 · doc4.xml · nonDerivative · entry 1

Gengos Andrew · CIK 0001563623 · See Below

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 65,434

F1 · price: The "Amount" and "Price" reported in this Column 4 reflect the aggregate number and weighted-average price, respectively, of shares purchased. These shares were purchased in multiple transactions at prices ranging from $3.355 to $3.36, 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 purchased at each separate price within the ranges set forth herein.

SEC source: 0001209191-23-034887 · doc4.xml · nonDerivative · entry 7

Gengos Andrew · CIK 0001563623 · See Below

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 65,012

F4 · price: The "Amount" and "Price" reported in this Column 4 reflect the aggregate number and weighted-average price, respectively, of shares purchased. These shares were purchased in multiple transactions at prices ranging from $2.995 to $3.02, 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 purchased at each separate price within the ranges set forth herein.

SEC source: 0001209191-23-034887 · doc4.xml · nonDerivative · entry 6

Gengos Andrew · CIK 0001563623 · See Below

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 55,012

SEC source: 0001209191-23-034887 · doc4.xml · nonDerivative · entry 5

Gengos Andrew · CIK 0001563623 · See Below

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 45,012

F3 · price: The "Amount" and "Price" reported in this Column 4 reflect the aggregate number and weighted-average price, respectively, of shares purchased. These shares were purchased in multiple transactions at prices ranging from $2.995 to $3.00, 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 purchased at each separate price within the ranges set forth herein.

SEC source: 0001209191-23-034887 · doc4.xml · nonDerivative · entry 4

Gengos Andrew · CIK 0001563623 · See Below

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 35,012

F2 · price: The "Amount" and "Price" reported in this Column 4 reflect the aggregate number and weighted-average price, respectively, of shares purchased. These shares were purchased in multiple transactions at prices ranging from $2.9999 to $3.00, 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 purchased at each separate price within the ranges set forth herein.

SEC source: 0001209191-23-034887 · doc4.xml · nonDerivative · entry 3

Gengos Andrew · CIK 0001563623 · See Below

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,012

SEC source: 0001209191-23-034887 · doc4.xml · nonDerivative · entry 2

Gengos Andrew · CIK 0001563623 · See Below

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 16,594

F1 · price: The "Amount" and "Price" reported in this Column 4 reflect the aggregate number and weighted-average price, respectively, of shares purchased. These shares were purchased in multiple transactions at prices ranging from $2.855 to $2.86, 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 purchased at each separate price within the ranges set forth herein.

SEC source: 0001209191-23-034887 · doc4.xml · nonDerivative · entry 1

Gengos Andrew · CIK 0001563623 · See Below

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,012

SEC source: 0001209191-23-034886 · doc4.xml · derivative · entry 3

MOEBIUS HANS · CIK 0001822494 · Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 7,882 shares

Expires 2029-08-14

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 · derivative.exercise_date: One-fourth of the shares subject to the option vested on June 1, 2020 and one-fourth of the shares subject to the option vest on each year thereafter.

SEC source: 0001209191-23-034886 · doc4.xml · nonDerivative · entry 2

MOEBIUS HANS · CIK 0001822494 · Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 81,482

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: 0001209191-23-031566 · doc4.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 2033-05-18

F1 · derivative.exercise_date: The shares subject to the option will vest on the earlier of (i) May 19, 2024, or (ii) the day immediately before the date of the next annual meeting of the Issuer's stockholders that occurs after May 19, 2023. The option reported was granted pursuant to the terms of the Issuer's Outside Director Compensation Policy.