Form 4 for LONA LeonaBio, Inc.

Accepted 2021-08-19 00:00:00 ET · period of report 2021-08-17 · accession 0001209191-21-052564 · SEC index · Original document

Summary rows

Aggregated the way they appear in lists: one row per insider, transaction code and security table.

X	Filed	Traded	Ticker	Insider	Title	Type	Price	Qty	Owned	ΔOwn	Value
D	2021-08-19	2021-05-18	LONA	Litton Mark James	COO	A - Grant	$14.45	+867	64.4K	+1%	+$12.5K
D	2021-08-19	2021-08-17	LONA	Litton Mark James	COO	M - OptEx	$1.35	+50.4K	114.9K	+78%	+$68.1K
D	2021-08-19	2021-08-17	LONA	Litton Mark James	COO	M - OptEx	$0.00	-50.4K	100.9K	-33%	$0

Purchase Sale Sale after option exercise All abbreviations

#	Table	Security	Date	Code	A/D	Shares	Price	Owned after	Own	Exercise / expiry	Underlying	Footnotes
1	Common	Common Stock	2021-05-18	A	A	867	$14.45	64,433	D	—	—	(F1) 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 September 17, 2020 through May 18, 2021. This transaction is also exempt under Rule 16b-3(c). (F2) The Purchase Period ended May 18, 2021 and is the Purchase Period comprising the Offering Period (as defined in the ESPP) that began September 17, 2020. (F3) In accordance with the ESPP, these shares were purchased based on 85% of the closing price of the initial public offering price from the issuer's initial public offering.
2	Common	Common Stock	2021-08-17	M	A	50,440	$1.35	114,873	D	—	—
3	Derivative	Stock Option (Right to Buy)	2021-08-17	M	D	50,440	$0.00	100,880	D	$1.35 · — to 2029-08-14	50,440 Common Stock	(F7) One-fourth of the shares subject to the option vested on July 1, 2020 and one-fourth of the shares subject to the option vest on each year thereafter.