Statement of Changes in Beneficial Ownership (4)
January 19 2022 - 4:31PM
Edgar (US Regulatory)
FORM 4
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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).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
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
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Auerbach Michael |
2. Issuer Name and Ticker or Trading Symbol
ATAI Life Sciences N.V.
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ATAI
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
C/O SUBVERSIVE ATAI, LLC,, 217 CENTRE STREET, SUITE 122 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
1/14/2022 |
(Street)
NEW YORK, NY 10013
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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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)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Shares | 1/14/2022 | | J(1) | | 5559808 | D | $0.00 | 0 | I | By Subversive ATAI, LLC (2) |
Common Shares | | | | | | | | 4666 (3) | D | |
Common Shares | | | | | | | | 519642 (4) | I | By M3 Daat, LLC (5) |
Table II - Derivative Securities 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 | 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 of Derivative Security: 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 |
Explanation of Responses: |
(1) | Represents a pro-rata distribution in-kind by Subversive ATAI LLC for no consideration to its members. |
(2) | Mr. Auerbach serves as Managing Member of Subversive ATAI, LLC, a multi-member limited liability company. Mr. Auerbach has sole voting and investment power with respect to the shares held by Subversive ATAI, LLC. |
(3) | The Reporting Person's Form 4 filed on June 24, 2021 inadvertently attributed a purchase of 4,666 Common Shares to Subversive ATAI, LLC. Following the reported transaction, the Reporting Person directly beneficially owned 4,666 Common Shares as reported herein. |
(4) | Reflects the acquisition of Common Shares by M3 Daat, LLC in connection with the pro-rata distribution in-kind described in footnote 1 above, which was exempt from reporting pursuant to Rule 16a-13. |
(5) | Mr. Auerbach is a member of M3 Daat, LLC and has sole voting and investment power with respect to the shares held by M3 Daat, LLC. Mr. Auerbach disclaims beneficial ownership over the Common Shares held by M3 Daat, LLC, except to the extent of his pecuniary interest. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Auerbach Michael C/O SUBVERSIVE ATAI, LLC, 217 CENTRE STREET, SUITE 122 NEW YORK, NY 10013 | X |
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Signatures
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/s/ Ryan Barrett, Attorney-in-fact | | 1/19/2022 |
**Signature of Reporting Person | Date |
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