09/11/2026 | Press release | Distributed by Public on 09/11/2026 15:44
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FORM 4
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN 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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| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
| 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 control number. | SEC 1474 (9-02) | ||
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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 Underlying Securities (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) |
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| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
| Stock Option | $5.68 | 09/11/2026 | D | 624,000 | (4) | 08/20/2030 | Common Stock | 624,000 | (4) | 0 | D | ||||
| Stock Option | $3.84 | 09/11/2026 | D | 64,000 | (4) | 05/25/2032 | Common Stock | 64,000 | (4) | 0 | D | ||||
| Stock Option | $1.88 | 09/11/2026 | D | 17,930 | (4) | 05/23/2033 | Common Stock | 17,930 | (4) | 0 | D | ||||
| Stock Option | $1.64 | 09/11/2026 | D | 1,247,932 | (4) | 01/05/2034 | Common Stock | 1,247,932 | (4) | 0 | D | ||||
| Stock Option | $2.49 | 09/11/2026 | D | 131,698 | (4) | 06/02/2035 | Common Stock | 131,698 | (4) | 0 | D | ||||
| Stock Option | $2.25 | 09/11/2026 | D | 103,000 | (4) | 06/26/2035 | Common Stock | 103,000 | (4) | 0 | D | ||||
| Stock Option | $4.50 | 09/11/2026 | D | 121,968 | (4) | 06/04/2036 | Common Stock | 121,968 | (4) | 0 | D | ||||
| Reporting Owner Name / Address | Relationships | |||
| Director | 10% Owner | Officer | Other | |
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Angermayer Christian 66 & 67, BEATRICE, AMERY STREET SLIEMA SLM1707 |
X | X | ||
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Apeiron Investment Group Ltd. 66 & 67 AMERY STREET SILEMA SLM1707 |
X | |||
| Apeiron Investment Group Ltd. By: /s/ Sanad Abushala, Director | 09/11/2026 | |
| **Signature of Reporting Person | Date | |
| /s/ Ryan Barrett, Attorney-in-fact | 09/11/2026 | |
| **Signature of Reporting Person | Date |
| * | 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). |
| (1) | Pursuant to the Agreement and Plan of Merger dated as of July 15, 2026, by and among AtaiBeckley Inc. (the "Company"), Eli Lilly and Company, an Indiana corporation ("Parent"), and Albali Acquisition Corporation, a Delaware corporation and indirect wholly owned subsidiary of Parent ("Merger Sub"), on September 11, 2026, Merger Sub merged with and into the Company (the "Merger"), with the Company surviving as a wholly owned subsidiary of Parent. |
| (2) | At the effective time of the Merger (the "Effective Time"), each share of the Company's common stock, par value $0.01 per share, issued and outstanding immediately prior to the Effective Time, subject to certain exceptions, converted into the right to receive (i) $6.75 per share in cash, without interest, plus (ii) one contingent value right per share (each, a "CVR" and collectively, the "CVRs"), representing the right to receive up to an aggregate of $2.50 in cash per CVR upon achievement, if any, of specified clinical and regulatory milestones, less any applicable tax withholding. |
| (3) | The Reporting Person's prior Form 4 inadvertently reported an incorrect beneficial ownership total, which has been corrected in this Form 4. |
| (4) | At the Effective Time, each outstanding stock option of the Company, subject to certain exceptions, was automatically cancelled and converted into the right to receive (A) an amount in cash (without interest and less applicable tax withholdings) equal to the product of (1) the total number of shares subject to such stock option immediately prior to the Effective Time multiplied by (2) the excess of $6.75 over the applicable exercise price per share under such stock option and (B) one CVR for each share subject to such stock option immediately prior to the Effective Time (without regard to vesting). |