Worthington Mark

SEC source: 0001861464-26-000006 · form4-04132026_080440.xml · derivative · entry 1

Worthington Mark · CIK 0001861464 · GENERAL COUNSEL and CCO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 300,000

Underlying: Common Stock · 300,000 shares

Expires 2036-04-08

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 2026 Equity Incentive Plan) through the applicable vesting dates.

SEC source: 0001861464-26-000004 · form4-03062026_120320.xml · nonDerivative · entry 2

Worthington Mark · CIK 0001861464 · GENERAL COUNSEL and CCO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 18,376

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. No additional shares of common stock were sold 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 $5.03 to $5.70, 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: 0001861464-26-000004 · form4-03062026_120320.xml · derivative · entry 3

Worthington Mark · CIK 0001861464 · GENERAL COUNSEL and CCO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,726 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 · derivative.exercise_price: Each RSU represents a contingent right to receive one (1) share of Issuer's common stock.

F4 · derivative.exercise_date: On March 3, 2025, the reporting person was granted 5,726 RSUs (as adjusted for the 10-for-1 reverse stock split completed on September 17, 2025). 100% of the RSUs vested on the one (1) year anniversary of the grant date.

F4 · derivative.expiration_date: On March 3, 2025, the reporting person was granted 5,726 RSUs (as adjusted for the 10-for-1 reverse stock split completed on September 17, 2025). 100% of the RSUs vested on the one (1) year anniversary of the grant date.

SEC source: 0001861464-26-000004 · form4-03062026_120320.xml · nonDerivative · entry 1

Worthington Mark · CIK 0001861464 · GENERAL COUNSEL and CCO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 19,704

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: 0001861464-26-000002 · form4-01062026_120121.xml · nonDerivative · entry 2

Worthington Mark · CIK 0001861464 · General Counsel and CCO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 13,978

F2 · 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. No additional shares of common stock were sold by the reporting person and the shares of Common Stock received upon settlement of the RSUs are subject to a lock-up agreement with Cantor Fitzgerald & Co. entered into in connection with the Issuer's private placement in December 2025.

F3 · 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 $6.60 to $7.56, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the SEC staff, upon request, full information regarding the number of shares sold at each separate price within the range set forth herein.

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

Worthington Mark · CIK 0001861464 · General Counsel and CCO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,667 shares

Expires not disclosed

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

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

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

F6 · derivative.exercise_date: On October 1, 2024, the reporting person was granted 11,000 RSUs. One-third (1/3rd) of the RSUs vest on each of December 31, 2024, June 30, 2025 and December 31, 2025, subject to the reporting person continuing to be a Service Provider (as defined in the Issuer's 2020 Equity Incentive Plan (the "Plan")) through the applicable vesting dates.

F6 · derivative.expiration_date: On October 1, 2024, the reporting person was granted 11,000 RSUs. One-third (1/3rd) of the RSUs vest on each of December 31, 2024, June 30, 2025 and December 31, 2025, subject to the reporting person continuing to be a Service Provider (as defined in the Issuer's 2020 Equity Incentive Plan (the "Plan")) through the applicable vesting dates.

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

Worthington Mark · CIK 0001861464 · General Counsel and CCO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 14,854

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

F1 · security: The reported number of shares in this Form 4 has been adjusted to reflect the impact of the Issuer's 10-for-1 reverse stock split completed on September 17, 2025 (the "Reverse Stock Split").

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

Worthington Mark · CIK 0001861464 · General Counsel and CCO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 34,358

Underlying: Common Stock · 34,358 shares

Expires 2035-09-23

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

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

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

Worthington Mark · CIK 0001861464 · General Counsel and CCO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 111,875

F1 · kind: Represents shares of common stock sold to cover tax withholding and remittance obligations in connection with the vesting of restricted stock units ("RSU") pursuant to mandatory "sell to cover" policies maintained by the issuer and provisions contained in the reporting person's applicable RSU agreement, and does not represent a discretionary sale by the reporting person.

F2 · price: The "Amount" and "Price" reported in this Column 4 reflect the aggregate number and weighted-average price, respectively, of shares sold. These shares were sold in multiple transactions at prices ranging from $0.2854 to $0.3031, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the SEC staff, upon request, full information regarding the number of shares sold at each separate price within the range set forth herein.

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

Worthington Mark · CIK 0001861464 · General Counsel and CCO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 36,667

Underlying: Common Stock · 36,666 shares

Expires not disclosed

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

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

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

F5 · derivative.exercise_date: On October 1, 2024, the reporting person was granted 110,000 RSUs. One-third (1/3rd) of the RSUs vest on each of December 31, 2024, June 30, 2025 and December 31, 2025, subject to the reporting person continuing to be a Service Provider (as defined in the Issuer's 2020 Equity Incentive Plan (the "Plan")) through the applicable vesting dates.

F5 · derivative.expiration_date: On October 1, 2024, the reporting person was granted 110,000 RSUs. One-third (1/3rd) of the RSUs vest on each of December 31, 2024, June 30, 2025 and December 31, 2025, subject to the reporting person continuing to be a Service Provider (as defined in the Issuer's 2020 Equity Incentive Plan (the "Plan")) through the applicable vesting dates.

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

Worthington Mark · CIK 0001861464 · General Counsel and CCO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 120,401

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

SEC source: 0001415889-25-006531 · 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: 0001415889-25-000525 · 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: 0001415889-25-000525 · 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: 0001415889-25-000525 · 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: 0001415889-24-024683 · 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: 0001415889-24-022984 · 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: 0001415889-24-022984 · 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: 0001415889-24-022984 · 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: 0001415889-24-004165 · 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: 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: 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: 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: 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: 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: 0001415889-24-004151 · 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: 0001209191-23-004481 · 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: 0001209191-22-039344 · 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: 0001209191-22-039344 · 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: 0001209191-22-039344 · doc4.xml · nonDerivative · entry 1

Worthington Mark · CIK 0001861464 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,711

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, 2021 through May 18, 2022. This transaction is also exempt under Rule 16b-3(c).

F2 · date: The Purchase Period ended May 18, 2022 and is the Purchase Period comprising the Offering Period (as defined in the ESPP) that began November 18, 2021.

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

SEC source: 0001209191-22-004122 · 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 2032-01-17

F1 · derivative.exercise_date: One forty-eighth (1/48th) of the shares subject to the option will vest on February 18, 2022, and one forty-eighth of the shares subject to the option will vest each month thereafter.

SEC source: 0001209191-21-063208 · 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 2031-11-02

F1 · derivative.exercise_date: One-fourth of the shares subject to the option vest on June 1, 2022 and one-fourth of the shares subject to the option vest on each subsequent anniversary thereafter.