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Atossa Therapeutics (ATOS) CEO amends RSU award, reports 950,000 options

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(Neutral)
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(Neutral)
Form Type
4/A

Rhea-AI Filing Summary

Atossa Therapeutics President and CEO Steven C. Quay filed an amended Form 4 updating an equity award reported for January 20, 2026. The filing now shows he acquired 331,674 restricted stock units, each representing one share of common stock, vesting one year after the grant date.

Following the transaction, he holds 345,572 common shares directly and 22,254 shares indirectly through Ensisheim Partners, LLC, which he co-owns with Dr. Shu-Chih Chen. The amendment also reports a grant of 950,000 stock options at an exercise price of $0.603, vesting quarterly over 24 months beginning January 20, 2026.

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Insider QUAY STEVEN C
Role President & CEO
Type Security Shares Price Value
Grant/Award Stock Options (right to buy) 950,000 $0.603 $573K
Grant/Award Common Stock 331,674 $0.00 --
holding Common Stock -- -- --
Holdings After Transaction: Stock Options (right to buy) — 950,000 shares (Direct); Common Stock — 345,572 shares (Direct); Common Stock — 22,254 shares (Indirect, By Ensisheim Partners, LLC)
Footnotes (1)
  1. Represents the acquisition of restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one share of the Issuer's Common Stock. The RSUs shall vest one year from the Transaction Date. The original Form 4, filed on January 22, 2026, is being amended by this Form 4 amendment solely to correct an administrative error regarding the number of RSUs acquired. Ensisheim Partners, LLC ("Ensisheim") is wholly owned by the Reporting Person and Dr. Shu-Chih Chen. The Reporting Person and Dr. Chen share voting and investment power over the securities held by Ensisheim. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein. The options shall vest on a quarterly basis over 24 months following January 20, 2026, subject to the Reporting Person's continued service to the Issuer through each applicable vesting date. The options were issued on January 20, 2026, with an exercise price of $0.603, representing the closing stock price on January 20, 2026.
Form 4 Insider Transactions: What Each Field Means →
SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response: 0.5
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*
QUAY STEVEN C
(Last) (First) (Middle)
C/O ATOSSA THERAPEUTICS, INC.,
1448 NW MARKET STREET, SUITE 500
(Street)
SEATTLE WA 98107
(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
ATOSSA THERAPEUTICS, INC. [ ATOS ] 		5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director 10% Owner
X Officer (give title below) Other (specify below)
President & CEO
3. Date of Earliest Transaction (Month/Day/Year)
01/20/2026
4. If Amendment, Date of Original Filed (Month/Day/Year)
01/22/2026 		6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock(1) 01/20/2026 A 331,674(2) A $0.0 345,572 D
Common Stock 22,254 I By Ensisheim Partners, LLC(3)
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Stock Options (right to buy) $0.603 01/20/2026 A 950,000 (4) 01/20/2026 Common Stock 950,000 $0.603 950,000 D
Explanation of Responses:
1. Represents the acquisition of restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one share of the Issuer's Common Stock. The RSUs shall vest one year from the Transaction Date.
2. The original Form 4, filed on January 22, 2026, is being amended by this Form 4 amendment solely to correct an administrative error regarding the number of RSUs acquired.
3. Ensisheim Partners, LLC ("Ensisheim") is wholly owned by the Reporting Person and Dr. Shu-Chih Chen. The Reporting Person and Dr. Chen share voting and investment power over the securities held by Ensisheim. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.
4. The options shall vest on a quarterly basis over 24 months following January 20, 2026, subject to the Reporting Person's continued service to the Issuer through each applicable vesting date. The options were issued on January 20, 2026, with an exercise price of $0.603, representing the closing stock price on January 20, 2026.
/s/ Steven C. Quay 01/30/2026
** Signature of Reporting Person Date
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.

Source: View Original Filing on SEC EDGAR

FAQ

What did Atossa Therapeutics (ATOS) CEO Steven Quay report on this Form 4/A?

Steven C. Quay reported amended details of an equity award effective January 20, 2026. The filing updates his restricted stock unit grant and confirms a large stock option award, clarifying his current direct and indirect holdings of Atossa Therapeutics common shares.

How many RSUs did Atossa’s CEO receive according to this amended filing?

The amended filing shows Steven C. Quay acquired 331,674 restricted stock units. Each RSU represents a contingent right to receive one share of Atossa Therapeutics common stock, with the entire award vesting one year after the January 20, 2026 transaction date.

What stock options were granted to the Atossa Therapeutics (ATOS) CEO?

Steven C. Quay received 950,000 stock options with an exercise price of $0.603. These options were granted on January 20, 2026 and will vest on a quarterly basis over 24 months, contingent on his continued service to Atossa Therapeutics through each vesting date.

Why was this Atossa Therapeutics Form 4 amended?

The Form 4 was amended to correct an administrative error in the originally reported RSU amount. The revised filing clarifies that 331,674 restricted stock units were acquired on January 20, 2026, replacing the incorrect figure disclosed in the Form 4 filed on January 22, 2026.

What are Steven Quay’s direct and indirect share holdings in Atossa after the transaction?

After the reported transaction, Steven C. Quay directly holds 345,572 Atossa common shares. In addition, 22,254 shares are held indirectly through Ensisheim Partners, LLC, an entity he co-owns with Dr. Shu-Chih Chen, where they share voting and investment power over those securities.

How do the vesting terms work for the Atossa CEO’s RSUs and options?

The 331,674 restricted stock units vest in full one year after the January 20, 2026 grant date. The 950,000 stock options vest quarterly over 24 months starting January 20, 2026, and each option is exercisable at an exercise price of $0.603 per share.