Welcome to our dedicated page for Athira Pharma SEC filings (Ticker: ATHA), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
The Athira Pharma, Inc. (NASDAQ: ATHA) SEC filings page brings together the company’s regulatory disclosures as a clinical-stage biopharmaceutical issuer. Athira, which has announced a name change to LeonaBio, Inc. with a future ticker "LONA," uses filings such as Forms 8-K and 8-K/A to report material events related to its operations, capital structure and key licensing agreements.
Recent filings describe a 10-for-1 reverse stock split of common stock, implemented through a certificate of amendment in Delaware, and subsequent confirmation from The Nasdaq Stock Market that Athira regained compliance with the minimum bid price requirement. Other 8-K filings detail a private placement financing involving common stock, pre-funded warrants and accompanying common warrants, with gross proceeds expected to be approximately $90 million, and outline associated registration rights for investors.
Filings also cover Athira’s exclusive licensing arrangements for lasofoxifene with Sermonix Pharmaceuticals and Ligand Pharmaceuticals, including the assumption of responsibility for the global Phase 3 ELAINE-3 trial outside specified retained territories. These documents provide insight into how the company structures rights to develop, manufacture and commercialize oral forms of lasofoxifene and how it coordinates with partners.
On this page, users can review Athira’s current reports to understand how financing terms, warrant structures, reverse stock split mechanics and licensing obligations interact with its clinical programs in metastatic breast cancer and ALS. Stock Titan’s platform adds AI-powered summaries to help explain the key points of lengthy filings, highlight important dates and thresholds, and make it easier to interpret how each filing may relate to Athira/LeonaBio’s broader strategic and clinical plans.
LeonaBio, Inc. President and CEO Mark James Litton reported several equity transactions involving company stock. On March 3, 2026, 22,254 restricted stock units were exercised at $0.00 per share, converting into the same number of common shares and bringing his direct common stock holdings to 63,082 shares.
On March 4, 2026, 5,156 common shares were sold at a weighted-average price of $5.37 per share to cover tax withholding obligations triggered by the RSU vesting under the company’s mandatory “sell to cover” policies; no additional shares were sold. After this tax-related sale, he directly owned 57,926 common shares. Separate irrevocable trusts established for his children each held 656 common shares as indirect ownership.
LeonaBio, Inc.’s chief financial officer reported routine equity activity involving restricted stock units and a small tax-related sale. On March 3, 3,900 restricted stock units vested and converted into the same number of common shares. On March 4, 906 common shares were sold at a weighted-average price of $5.37 solely to cover tax withholding obligations under a mandatory “sell to cover” policy, leaving 15,851 common shares held directly.
LeonaBio, Inc. executive Mark Worthington reported a mix of share transactions tied to vesting equity awards. On March 3, 2026, 5,726 restricted stock units were exercised into the same number of common shares at
On March 4, 2026, 1,328 common shares were sold in an open-market transaction at a weighted-average price of
LeonaBio, Inc. Chief Scientific Officer Kevin Church reported RSU vesting and related share transactions. On March 3, he exercised 5,856 restricted stock units, each converting into one share of common stock at a stated price of $0.00 per share.
Those RSUs, originally granted as 5,856 units on March 3, 2025 and vesting in full one year later, increased his common stock holdings. On March 4, 1,359 common shares were sold in open-market transactions at a weighted-average price of $5.37 per share solely to cover tax withholding obligations under LeonaBio’s mandatory “sell to cover” policy.
After these transactions, Church directly held 25,178 shares of LeonaBio common stock.
LeonaBio, Inc.’s chief medical officer Javier San Martin reported equity compensation activity and a related tax sale. On March 3, 2026, 7,418 restricted stock units (RSUs) fully vested and were converted into 7,418 shares of common stock at a stated price of $0.00 per share.
On March 4, 2026, 1,720 shares of common stock were sold in open-market transactions at a weighted-average price of $5.37 per share, solely to cover tax withholding obligations under LeonaBio’s mandatory “sell to cover” policies, and not as a discretionary sale. After these transactions, Javier San Martin directly owned 15,887 shares of LeonaBio common stock.
LeonaBio, Inc. (ATHA) filed a Rule 144 notice to sell 22,254 shares of common stock tied to an equity compensation event.
The filing also reports 2,586 shares sold in the past three months and lists a
LeonaBio, Inc. is asking stockholders to approve several capital and governance proposals at a virtual special meeting on March 18, 2026. The company seeks approval to issue 5,502,402 shares of common stock upon exercise of a pre-funded warrant held by Sermonix, and to allow Sermonix and Perceptive to exercise their warrants even if their ownership exceeds 19.99%, as required by Nasdaq Rule 5635(b). Stockholders are also asked to approve a new 2026 Equity Incentive Plan with an initial reserve of 5,700,000 shares plus an evergreen increase, amend the charter to increase authorized common stock, and permit adjournment if more time is needed to secure votes. If key proposals fail, LeonaBio may owe Sermonix up to
Baselake Partners, LP, Baselake Management, LLC and David Paolella report a passive ownership stake in LeonaBio, Inc. (formerly Athira Pharma, Inc.) on a Schedule 13G/A.
The group reports beneficial ownership of 75,789 shares of common stock, representing 1.9% of the class, based on 3,943,887 shares outstanding as of November 5, 2025. The shares are held by Baselake Partners, LP, with the other reporting persons having shared voting and dispositive power through their roles. They certify the holdings were not acquired to change or influence control of LeonaBio and each disclaims beneficial ownership beyond their pecuniary interest.
LeonaBio, Inc. is calling a special virtual stockholder meeting on March 18, 2026 to approve several share and governance actions tied to recent licensing and financing deals. The key item is approval to issue 5,502,402 shares of common stock upon exercise of a pre-funded warrant held by Sermonix Pharmaceuticals, which was issued as partial consideration for an exclusive lasofoxifene license.
Stockholders are also asked to approve Sermonix and Perceptive Advisors exceeding a 19.99% ownership threshold upon warrant exercises under Nasdaq Rule 5635(b); if these approvals are not obtained, the related warrants remain restricted and LeonaBio may have to pay up to $7.5 million to redeem portions of the Sermonix warrant. Other proposals seek approval of a new 2026 Equity Incentive Plan with an initial 5.7 million share pool plus an annual evergreen increase, an increase in authorized common shares, and authority to adjourn the meeting to solicit additional proxies if needed.