Form D · Biotechnology
Athira Pharma, Inc.
Seattle, WA · CIK 0001620463
Offering snapshot reported Jun 12, 2020 · SEC filing
- Reported sold
- $89M Offering amount: $90.9M
- Investors reported
- 73 Form D · investor count
- Minimum accepted
- $0 Reported outside-investor minimum
- First sale
- May 29, 2020 As reported in this filing
What changed?
Latest filing versus its linked predecessor, where available.
No comparable changes in the displayed metrics.
Filing history
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| Filed | Filing type | Reported sold | Change vs linked filing | Investors | Source |
|---|---|---|---|---|---|
| Jun 12, 2020 | Initial | $89,007,350 | No comparison | 73 | SEC filing |
| Jan 24, 2020 | Amendment | $3,816,000 | $1,666,000vs Sep 19, 2019 | 22 | SEC filing |
| Sep 19, 2019 | Amendment | $2,150,000 | $884,000vs Jan 23, 2019 | 17 | SEC filing |
| Jan 23, 2019 | Amendment | $1,266,000 | $0vs Dec 20, 2018 | 10 | SEC filing |
| Dec 20, 2018 | Initial | $1,266,000 | No comparison | 10 | SEC filing |
| Nov 1, 2017 | Amendment | $14,115,000 | $4,041,525vs Apr 20, 2017 | 41 | SEC filing |
| Apr 20, 2017 | Amendment | $10,073,475 | $6,573,475vs Nov 20, 2015 | 34 | SEC filing |
| Nov 20, 2015 | Initial | $3,500,000 | No comparison | 10 | SEC filing |
| Feb 5, 2015 | Amendment | $350,000 | $150,000vs Oct 3, 2014 | 7 | SEC filing |
| Oct 3, 2014 | Initial | $200,000 | No comparison | 5 | SEC filing |
Offering details
- Securities
- Equity, Option to acquire, Security to be acquired
- Exemptions
- 06b
- Duration over one year
- No
- Business combination
- No
- Sales commissions
- $3.45M (estimated)
- Finders' fees
- $0
- Form D file number
- 021-368812
In addition to the issuance of capital stock, the Issuer issued warrants to purchase capital stock, the proceeds of which, if any, will be realized at the time of exercise.
Cash fees of up to $3,455,000, plus warrants to purchase shares of Series B preferred stock at the Series B purchase price.
Sales compensation recipients
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| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| JMP Securities | 22208 |
Source: Form D, filed Jun 12, 2020. Minimum accepted may differ from a standard advertised minimum.
Fund connections
No confirmed ADV fund connection is available for this issuer.
People & organizations
Current and past Form D appearances. These existing records do not establish a person's current role or uniquely identify them across issuers.
| Name | Reported role |
|---|---|
| Joseph Edelman | Director |
| John Fluke | Director, Executive |
| John M. Fluke, Jr. | Director |
| Joseph W. Harding | Director |
| Leen Kawas | Director, Executive, Promoter |
| Mark Litton | Executive |
| Glenna Mileson | Executive |
| Hansjoerg Moebius | Executive |
| Michael Montgomery | Director |
| Bruce Montgomery | Director |
| Christina Thomson | Executive |
| Jay Wright | Director, Promoter |
| Tadataka Yamada | Director |
Issuer details
Industry: Biotechnology (See others in industry)
Address:
4000 Mason Road, Suite 300 Box 352141
Seattle, WA, 981952141
Seattle, WA, 981952141