Annual Statement of Changes in Beneficial Ownership (5)
10 Febbraio 2022 - 10:10PM
Edgar (US Regulatory)
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
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Form 3 Holdings Reported
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Form 4 Transactions Reported
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Komjathy Andrew | 2. Issuer Name and Ticker or Trading SymbolAstria Therapeutics, Inc. [ATXS] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Chief Commercial Officer |
(Last)
(First)
(Middle)
C/O ASTRIA THERAPEUTICS, INC., 100 HIGH STREET, FLOOR 28 | 3. Statement for Issuer's Fiscal Year Ended (MM/DD/YYYY) 12/28/2021 |
(Street)
BOSTON,, MA 02110
(City)
(State)
(Zip)
| 4. If Amendment, Date Original Filed(MM/DD/YYYY) | 6. Individual or Joint/Group Filing(Check Applicable Line)
_X_ Form Filed by One Reporting Person
___ Form Filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3) | 2. Trans. Date | 2A. Deemed Execution Date, if any | 3. Trans. 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) |
Amount | (A) or (D) | Price |
Common Stock | 12/28/2021 | | G | 45 | D | $0 | 55 | D | |
Common Stock | 12/28/2021 | | G | 45 | D | $0 | 10 | D | |
Common Stock | | | | | | | 45 | I | See footnote (1) |
Common Stock | | | | | | | 45 | I | See footnote (2) |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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 (MM/DD/YYYY) | 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 at End of Issuer's Fiscal Year (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
(A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
(1) | On December 28, 2021, Andrew Komjathy (the "Reporting Person") gifted 45 shares of common stock of Astria Therapeutics, Inc. (the "Common Stock") to the Uniform Transfers to Minors Act brokerage account of the Reporting Person's minor child (the "UTMA"), of which the Reporting Person serves as the sole custodian trustee. The Reporting Person disclaims beneficial ownership over these shares of Common Stock, which are held directly by the UTMA, except to the extent of the Reporting Person's indirect pecuniary interest therein. |
(2) | On December 28, 2021, the Reporting Person gifted 45 shares of Common Stock to the Reporting Person's adult child. The Reporting Person disclaims beneficial ownership over these shares of Common Stock, which are held directly by the adult child of the Reporting Person. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Komjathy Andrew C/O ASTRIA THERAPEUTICS, INC. 100 HIGH STREET, FLOOR 28 BOSTON,, MA 02110 |
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| Chief Commercial Officer |
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Signatures
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/s/ Noah Clauser, as attorney-in-fact for Andrew Komjathy | | 2/10/2022 |
**Signature of Reporting Person | Date |
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