LONA

SEC source: 0001209191-23-031554 · doc4.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 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.

SEC source: 0001209191-23-031557 · doc4.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 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.

SEC source: 0001209191-23-031576 · doc4.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 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.

SEC source: 0001209191-23-031572 · doc4.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 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.

SEC source: 0001209191-23-031580 · doc4.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 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.

SEC source: 0001209191-23-031559 · doc4.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 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.

SEC source: 0001209191-23-031552 · doc4.xml · derivative · entry 1

Gengos Andrew · CIK 0001563623 · See Below

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 400,000

Underlying: Common Stock · 400,000 shares

Expires 2033-05-17

F1 · derivative.exercise_date: One-third (1/3) of the shares subject to the option shall be scheduled to vest on May 18, 2024, the one (1) year anniversary of May 18, 2023, and the remaining shares subject to the option shall be scheduled to vest monthly over the next 36 months on the 18th of each month, subject to the Reporting Person continuing to be a Service Provider (as defined in Athira Pharma, Inc.'s 2020 Equity Incentive Plan) through the applicable vesting dates, as follows: one-third (1/3) of the shares subject to the option shall be scheduled to vest in equal monthly amounts over the next 12 months; one-sixth (1/6) of the shares subject to the option shall be scheduled to vest in equal monthly amounts over the subsequent 12 months; and the remaining one-sixth (1/6) of the shares subject to the option shall be scheduled to vest in equal monthly amounts over the final 12 months.

SEC source: 0001209191-23-034886 · doc4.xml · nonDerivative · entry 1

MOEBIUS HANS · CIK 0001822494 · Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 73,600

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, 2022 through May 18, 2023. This transaction is also exempt under Rule 16b-3(c).

F2 · date: The Purchase Period ended May 18, 2023 and is the Purchase Period comprising the Offering Period (as defined in the ESPP) that began November 18, 2022.

F3 · price: In accordance with the ESPP, these shares were purchased based on 85% of the closing price on May 18, 2023.

SEC source: 0001209191-24-001142 · doc4.xml · nonDerivative · entry 1

CHURCH KEVIN · CIK 0001822499 · Chief Scientific Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 69,271

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, 2022 through May 18, 2023. This transaction is also exempt under Rule 16b-3(c).

F2 · date: The Purchase Period ended May 18, 2023 and is the Purchase Period comprising the Offering Period (as defined in the ESPP) that began November 18, 2022.

F3 · price: In accordance with the ESPP, these shares were purchased based on 85% of the closing price on May 18, 2023.

SEC source: 0001209191-24-001145 · doc4.xml · nonDerivative · entry 1

Worthington Mark · CIK 0001861464 · General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 26,864

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, 2022 through May 18, 2023. This transaction is also exempt under Rule 16b-3(c).

F2 · date: The Purchase Period ended May 18, 2023 and is the Purchase Period comprising the Offering Period (as defined in the ESPP) that began November 18, 2022.

F3 · price: In accordance with the ESPP, these shares were purchased based on 85% of the closing price on May 18, 2023.

SEC source: 0001415889-24-004146 · form4a-02162024_090254.xml · nonDerivative · entry 1

CHURCH KEVIN · CIK 0001822499 · CHIEF SCIENTIFIC OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 69,271

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, 2022 through May 18, 2023. This transaction is also exempt under Rule 16b-3(c).

F2 · date: The Purchase Period ended May 18, 2023 and is the Purchase Period comprising the Offering Period (as defined in the ESPP) that began November 18, 2022.

F3 · price: In accordance with the ESPP, these shares were purchased based on 85% of the closing price on May 18, 2023.

SEC source: 0001415889-24-004151 · form4a-02162024_090252.xml · nonDerivative · entry 1

Worthington Mark · CIK 0001861464 · GENERAL COUNSEL

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 26,864

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, 2022 through May 18, 2023. This transaction is also exempt under Rule 16b-3(c).

F2 · date: The Purchase Period ended May 18, 2023 and is the Purchase Period comprising the Offering Period (as defined in the ESPP) that began November 18, 2022.

F3 · price: In accordance with the ESPP, these shares were purchased based on 85% of the closing price on May 18, 2023.

SEC source: 0001209191-23-021878 · doc4.xml · nonDerivative · entry 2

PICKERING GRANT · CIK 0001258693 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,783

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 $2.42 to $2.50, 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: 0001209191-23-021708 · doc4.xml · nonDerivative · entry 1

JOHNSON JAMES A · CIK 0001225501 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,000

SEC source: 0001209191-23-021878 · doc4.xml · nonDerivative · entry 1

PICKERING GRANT · CIK 0001258693 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,783

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 $2.26 to $2.34, 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: 0001209191-23-021248 · doc4.xml · derivative · entry 2

CHURCH KEVIN · CIK 0001822499 · Chief Scientific Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 6,410 shares

Expires 2028-12-17

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

SEC source: 0001209191-23-021248 · doc4.xml · nonDerivative · entry 1

CHURCH KEVIN · CIK 0001822499 · Chief Scientific Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 68,462

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: 0001209191-23-005818 · doc4.xml · derivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 425,000

Underlying: Common Stock · 425,000 shares

Expires 2033-01-26

F7 · derivative.exercise_date: One thirty-sixth (1/36th) of the shares subject to the option will vest on February 27, 2023 and one thirty-sixth of the shares subject to the option will vest each month thereafter.

SEC source: 0001209191-23-004468 · doc4.xml · derivative · entry 2

CHURCH KEVIN · CIK 0001822499 · Executive VP, Research

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,000

Underlying: Common Stock · 150,000 shares

Expires 2033-01-18

F4 · derivative.exercise_date: One thirty-sixth (1/36th) of the shares subject to the option will vest on February 19, 2023 and one thirty-sixth of the shares subject to the option will vest each month thereafter.

SEC source: 0001209191-23-004481 · doc4.xml · derivative · entry 1

Worthington Mark · CIK 0001861464 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,000

Underlying: Common Stock · 150,000 shares

Expires 2033-01-18

F1 · derivative.exercise_date: One thirty-sixth (1/36th) of the shares subject to the option will vest on February 19, 2023 and one thirty-sixth of the shares subject to the option will vest each month thereafter.

SEC source: 0001209191-23-004475 · doc4.xml · derivative · entry 1

Lenington Rachel · CIK 0001861194 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 200,000

Underlying: Common Stock · 200,000 shares

Expires 2033-01-18

F1 · derivative.exercise_date: One thirty-sixth (1/36th) of the shares subject to the option will vest on February 19, 2023 and one thirty-sixth of the shares subject to the option will vest each month thereafter.

SEC source: 0001209191-23-004480 · doc4.xml · derivative · entry 1

MOEBIUS HANS · CIK 0001822494 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 200,000

Underlying: Common Stock · 200,000 shares

Expires 2033-01-18

F1 · derivative.exercise_date: One thirty-sixth (1/36th) of the shares subject to the option will vest on February 19, 2023 and one thirty-sixth of the shares subject to the option will vest each month thereafter.

SEC source: 0001209191-23-004478 · doc4.xml · derivative · entry 1

MILESON GLENNA · CIK 0001822241 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,000

Underlying: Common Stock · 150,000 shares

Expires 2033-01-18

F1 · derivative.exercise_date: One thirty-sixth (1/36th) of the shares subject to the option will vest on February 19, 2023 and one thirty-sixth of the shares subject to the option will vest each month thereafter.

SEC source: 0001209191-24-001142 · doc4.xml · nonDerivative · entry 4

CHURCH KEVIN · CIK 0001822499 · Chief Scientific Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 80,256

F9 · 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.

F10 · 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: 0001209191-24-001153 · doc4.xml · nonDerivative · entry 2

Gengos Andrew · CIK 0001563623 · See Below

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 83,804

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: 0001209191-24-001142 · doc4.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 · 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: 0001209191-24-001153 · doc4.xml · nonDerivative · entry 1

Gengos Andrew · CIK 0001563623 · See Below

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 · 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 5,000 RSUs vested and settled on such date.

SEC source: 0001209191-22-063009 · doc4.xml · nonDerivative · entry 2

MILESON GLENNA · CIK 0001822241 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 159,930

F4 · price: The reported price is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.93 to $2.98, 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: 0001209191-22-060128 · doc4.xml · nonDerivative · entry 1

Romano Kelly A · CIK 0001722055 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,315

F1 · price: The reported price is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.23 to $3.31, 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: 0001209191-22-063009 · doc4.xml · nonDerivative · entry 1

MILESON GLENNA · CIK 0001822241 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 109,930

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 18, 2022 through November 18, 2022. This transaction is also exempt under Rule 16b-3(c).

F2 · date: The Purchase Period ended November 18, 2022 and is the sole Purchase Period in the Offering Period (as defined in the ESPP) that began May 18, 2022.

F3 · price: In accordance with the ESPP, these shares were purchased based on 85% of the closing price on November 18, 2022.

SEC source: 0001209191-23-004468 · doc4.xml · nonDerivative · entry 1

CHURCH KEVIN · CIK 0001822499 · Executive VP, Research

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,052

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 18, 2022 through November 18, 2022. This transaction is also exempt under Rule 16b-3(c).

F2 · date: The Purchase Period ended November 18, 2022 and is the sole Purchase Period in the Offering Period (as defined in the ESPP) that began May 18, 2022.

F3 · price: In accordance with the ESPP, these shares were purchased based on 85% of the closing price on November 18, 2022.

SEC source: 0001209191-23-005818 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 129,217

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 18, 2022 through November 18, 2022. This transaction is also exempt under Rule 16b-3(c).

F2 · date: The Purchase Period ended November 18, 2022 and is the sole Purchase Period in the Offering Period (as defined in the ESPP) that began May 18, 2022.

F3 · price: In accordance with the ESPP, these shares were purchased based on 85% of the closing price on November 18, 2022.

SEC source: 0001209191-22-057721 · doc4.xml · nonDerivative · entry 1

MOEBIUS HANS · CIK 0001822494 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,836

SEC source: 0001209191-22-054950 · doc4.xml · derivative · entry 2

CHURCH KEVIN · CIK 0001822499 · Executive VP, Research

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,410

Underlying: Common Stock · 3,700 shares

Expires 2028-12-17

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

SEC source: 0001209191-22-054950 · doc4.xml · nonDerivative · entry 1

CHURCH KEVIN · CIK 0001822499 · Executive VP, Research

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,395

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: 0001209191-22-053869 · doc4.xml · derivative · entry 2

MOEBIUS HANS · CIK 0001822494 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,882

Underlying: Common Stock · 7,881 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.

F1 · 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: 0001209191-22-053869 · doc4.xml · nonDerivative · entry 1

MOEBIUS HANS · CIK 0001822494 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,836

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: 0001062993-22-015719 · 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: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 4,797,278

F2 · price: The reported price is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.87 to $3.00, 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 purchased at each separate price within such range.

F3 · 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. 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: 0001062993-22-015719 · 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: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 3,695,916

F1 · price: The reported price is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.83 to $3.00, 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 purchased at each separate price within such range.

F3 · 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. 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: 0001209191-22-039937 · doc4.xml · nonDerivative · entry 1

MOEBIUS HANS · CIK 0001822494 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,955

SEC source: 0001209191-22-039336 · doc4.xml · nonDerivative · entry 2

CHURCH KEVIN · CIK 0001822499 · Executive VP, Research

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,695

F2 · 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.

F3 · 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 $2.62 to $2.78, 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: 0001209191-22-039344 · doc4.xml · nonDerivative · entry 3

Worthington Mark · CIK 0001861464 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,097

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 $2.62 to $2.78, 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: 0001209191-22-039338 · doc4.xml · nonDerivative · entry 2

Lenington Rachel · CIK 0001861194 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,807

F2 · 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.

F3 · 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 $2.62 to $2.78, 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: 0001209191-22-039340 · doc4.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 128,555

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 $2.62 to $2.78, 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: 0001209191-22-039342 · doc4.xml · nonDerivative · entry 3

MILESON GLENNA · CIK 0001822241 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 109,167

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 $2.62 to $2.78, 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: 0001209191-22-039336 · doc4.xml · nonDerivative · entry 1

CHURCH KEVIN · CIK 0001822499 · Executive VP, Research

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,309

F1 · shares: 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 were scheduled to vest according to the following 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 at the completion of the public readout of topline results of the Issuer's LIFT-AD Phase 2/3 clinical trial (the "LIFT-AD Readout") and (3) one third (1/3rd) of the number of shares subject to the RSU award vest six (6) months after the LIFT-AD Readout, in each case subject to continued service with the Issuer through the applicable vesting date. On June 22, 2022, the Issuer completed the public readout of topline results of the ACT-AD Phase 2 clinical trial and 10,000 RSUs vested and settled on such date.

SEC source: 0001209191-22-039344 · doc4.xml · nonDerivative · entry 2

Worthington Mark · CIK 0001861464 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,711

F4 · shares: 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 were scheduled to vest according to the following 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 at the completion of the public readout of topline results of the Issuer's LIFT-AD Phase 2/3 clinical trial (the "LIFT-AD Readout") and (3) one third (1/3rd) of the number of shares subject to the RSU award vest six (6) months after the LIFT-AD Readout, in each case subject to continued service with the Issuer through the applicable vesting date. On June 22, 2022, the Issuer completed the public readout of topline results of the ACT-AD Phase 2 clinical trial and 10,000 RSUs vested and settled on such date.

SEC source: 0001209191-22-039338 · doc4.xml · nonDerivative · entry 1

Lenington Rachel · CIK 0001861194 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

F1 · shares: 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 were scheduled to vest according to the following 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 at the completion of the public readout of topline results of the Issuer's LIFT-AD Phase 2/3 clinical trial (the "LIFT-AD Readout") and (3) one third (1/3rd) of the number of shares subject to the RSU award vest six (6) months after the LIFT-AD Readout, in each case subject to continued service with the Issuer through the applicable vesting date. On June 22, 2022, the Issuer completed the public readout of topline results of the ACT-AD Phase 2 clinical trial and 10,000 RSUs vested and settled on such date.

SEC source: 0001209191-22-039340 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 136,515

F4 · shares: 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 were scheduled to vest according to the following 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 at the completion of the public readout of topline results of the Issuer's LIFT-AD Phase 2/3 clinical trial (the "LIFT-AD Readout") and (3) one third (1/3rd) of the number of shares subject to the RSU award vest six (6) months after the LIFT-AD Readout, in each case subject to continued service with the Issuer through the applicable vesting date. On June 22, 2022, the Issuer completed the public readout of topline results of the ACT-AD Phase 2 clinical trial and 20,000 RSUs vested and settled on such date.

SEC source: 0001209191-22-039343 · doc4.xml · nonDerivative · entry 2

MOEBIUS HANS · CIK 0001822494 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,955

F4 · shares: 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 were scheduled to vest according to the following 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 at the completion of the public readout of topline results of the Issuer's LIFT-AD Phase 2/3 clinical trial (the "LIFT-AD Readout") and (3) one third (1/3rd) of the number of shares subject to the RSU award vest six (6) months after the LIFT-AD Readout, in each case subject to continued service with the Issuer through the applicable vesting date. On June 22, 2022, the Issuer completed the public readout of topline results of the ACT-AD Phase 2 clinical trial and 10,000 RSUs vested and settled on such date.