Atai Life Sciences (ATAI) Form 3 ATAI Life Sciences / Glenn Frank Short ownership change

SEC Form 3

FORM 3

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

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^*

Short Glenn Frank

(Last) (First) (Middle)

WALLSTRASSE 16

(Street)

BERLIN 2M 10179

(City) (State) (Zip)

2. Date of Event Requiring Statement (Month/Day/Year)
01/01/2025

3. Issuer Name and Ticker or Trading Symbol
ATAI Life Sciences N.V. [ ATAI ]

4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director	10% Owner
X	Officer (give title below)	Other (specify below)
Chief Scientific Officer

5. If Amendment, Date of Original Filed (Month/Day/Year)

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 Beneficially Owned
1. Title of Security (Instr. 4)	2. Amount of Securities Beneficially Owned (Instr. 4)	3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Shares	22,994	D

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4)	2. Date Exercisable and Expiration Date (Month/Day/Year)		3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)		4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
	Date Exercisable	Expiration Date	Title	Amount or Number of Shares
Stock Option	(1)	08/20/2030	Common Shares	283,280	2.44	D
Stock Option	(1)	08/20/2030	Common Shares	329,552	5.68	D
Stock Option	(2)	08/20/2030	Common Shares	53,680	11.71	D
Stock Option	(3)	02/11/2032	Common Shares	180,000	5.54	D
Stock Option	(4)	10/21/2032	Common Shares	71,620	2.86	D
Stock Option	(5)	03/14/2033	Common Shares	250,000	1.18	D
Stock Option	(6)	03/13/2034	Common Shares	388,000	1.84	D
Restricted Stock Unit	(7)	(7)	Common Shares	32,500	0	D

Explanation of Responses:

1. The stock option is fully vested.

2. The stock option vested as to 25% of the underlying shares on April 29, 2022, with the remaining underlying shares vesting in 36 substantially equal monthly installments thereafter.

3. The stock option vested as to 25% of the underlying shares on January 1, 2023, with the remaining underlying shares vesting in 36 substantially equal monthly installments thereafter.

4. The stock option vested as to 25% of the underlying shares on September 1, 2023, with the remaining underlying shares vesting in 36 substantially equal monthly installments thereafter.

5. The stock option vested as to 25% of the underlying shares on March 14, 2024, with the remaining underlying shares vesting in 36 substantially equal monthly installments thereafter.

6. The stock option vested as to 25% of the underlying shares on January 1, 2025, with the remaining underlying shares vesting in 36 substantially equal monthly installments thereafter.

7. Each restricted stock unit represents a contingent right to receive one common share of the Company upon vesting and settlement. The restricted stock units will vest on March 14, 2025.

Remarks:

Exhibit 24 - Power of Attorney. No securities are beneficially owned.

	/s/ Ryan Barrett, Attorney-in-fact	01/10/2025
	** 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 5 (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).
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