# EDGAR Filing Document

**Accession Number:** 0001620463
**File Stem:** 0001415889-25-019069
**Filing Date:** 2025-7
**Character Count:** 7867
**Document Hash:** 956a4744d1b5e52f8a6d7f349d2e2215
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001415889-25-019069.hdr.sgml**: 20250702

**ACCESSION NUMBER**: 0001415889-25-019069

**CONFORMED SUBMISSION TYPE**: 4

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20250630

**FILED AS OF DATE**: 20250702

**DATE AS OF CHANGE**: 20250702

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** Litton Mark James
- **CENTRAL INDEX KEY:** 0001604834

**ORGANIZATION NAME:**

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-39503
- **FILM NUMBER:** 251101800

**MAIL ADDRESS:**
- **STREET 1:** 11804 NORTH CREEK PARKWAY SOUTH
- **CITY:** BOTHELL
- **STATE:** WA
- **ZIP:** 98011
**ISSUER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Athira Pharma, Inc.
- **CENTRAL INDEX KEY:** 0001620463
- **STANDARD INDUSTRIAL CLASSIFICATION:** BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836]
- **ORGANIZATION NAME:** 03 Life Sciences
- **EIN:** 453368487
- **FISCAL YEAR END:** 1231

**BUSINESS ADDRESS:**
- **STREET 1:** 18706 NORTH CREEK PARKWAY, SUITE 104
- **CITY:** BOTHELL
- **STATE:** WA
- **ZIP:** 98011
- **BUSINESS PHONE:** (425) 620-8501

**MAIL ADDRESS:**
- **STREET 1:** 18706 NORTH CREEK PARKWAY, SUITE 104
- **CITY:** BOTHELL
- **STATE:** WA
- **ZIP:** 98011

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** M3 Biotechnology, Inc.
- **DATE OF NAME CHANGE:** 20140924

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM 4

### STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

[ ] Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>Litton Mark James<br><sub>(Last) (First) (Middle)</sub><br>C/O ATHIRA PHARMA, INC.<br>18706 NORTH CREEK PARKWAY, SUITE 104<br><sub>(Street)</sub><br>BOTHELL, WA 98011<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2025-06-30 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[X] Director [ ] 10% Owner<br>[X] Officer (give title below) [ ] Other (specify below)<br>_President and CEO_ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>Athira Pharma, Inc. [ ATHA ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[X] Form filed by One Reporting Person<br>[ ] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | 3. Transaction Code (V) | 3. Transaction Code (V) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | Code | V | Amount | (A) or (D) | Price | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| Common Stock | 2025-06-30 |  | M |  | 108334 | A | $0 | 350925 | D |  |
| Common Stock | 2025-07-01 |  | S<sup>(1)</sup> |  | 25123 | D | 0.2935<sup>(2)</sup> | 325802 | D |  |
| Common Stock |  |  |  |  |  |  |  | 6563 | I | By Irrevocable Trust of OSL<sup>(3)</sup> |
| Common Stock |  |  |  |  |  |  |  | 6563 | I | By Irrevocable Trust of SWL<sup>(4)</sup> |
| Common Stock |  |  |  |  |  |  |  | 6563 | I | By Irrevocable Trust of WGL<sup>(5)</sup> |

---

## Table II - Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | 4. Transaction Code (V) | 4. Transaction Code (V) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 6. Date Exercisable and Expiration Date | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Underlying Securities | 7. Title and Amount of Underlying Securities | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| Restricted Stock Units<sup>(6)</sup> | <sup>(7)</sup> | 2025-06-30 |  | M |  |  | 108334 | <sup>(8)</sup> | <sup>(8)</sup> | Common Stock | 108334 | $0 | 108333 | D |  |

---

### Footnotes:

(1) 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.

(2) 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.

(3) Reflects Common Stock held by Irrevocable Trust of OSL held for the benefit of Dr. Litton's children.

(4) Reflects Common Stock held by Irrevocable Trust of SWL held for the benefit of Dr. Litton's children.

(5) Reflects Common Stock held by Irrevocable Trust of WGL held for the benefit of Dr. Litton's children.

(6) RSUs convert into common stock on a one-for-one basis.

(7) Each RSU represents a contingent right to receive one (1) share of Issuer's common stock.

(8) On October 1, 2024, the reporting person was granted 325,000 RSUs. One-third (1/3rd) of the RSUs vest on each of December 31, 2024, June 30, 2025 and December 31, 2025, subject to the reporting person continuing to be a Service Provider (as defined in the Issuer's 2020 Equity Incentive Plan (the "Plan")) through the applicable vesting dates.

**Signature:** /s/ Mark Worthington, Attorney-in-Fact on behalf of Mark James Litton  
**Date:** 2025-07-02

### Remarks:

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.

* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).

** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).

Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.

**Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.**