SEC Form 4 · accession 0001214659-15-000043
Anthera Pharmaceuticals Inc · ANTH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Paul F Truex
Officer — President and CEO
Period of report
Dec 30, 2014
Accepted (ET)
Jan 2, 2015 · 6:33 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001316175
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Dec 31, 2014 | G | 12,500 | $0.00 | D | 0 | D | |
| Common Stock | Dec 31, 2014 | G | 12,500 | $0.00 | A | 89,337 | I | By Trust |
| Common StockF1 | holding | — | — | — | 12,500 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock option (right to buy)F3 | $1.61 | Dec 30, 2014 | A | 330,000 | A | — | Dec 30, 2024 | Common Stock | 330,000 | 330,000 | D |
Explanation of responses
- F1Represents 12,500 shares acquired under the Issuer's 2010 Employee Stock Purchase Plan on December 31, 2014. 14,709 shares were incorrectly included in the Reporting Person's direct ownership, these shares were transferred to 2005 Truex Family Trust u/d/t April 20, 2005 on June 30, 2014.
- F2On December 31, 2014, the reporting person transferred 12,500 shares to the 2005 Truex Family Trust u/d/t April 20, 2005
- F3This stock option vests monthly over four years beginning December 30, 2014 (the Vesting Start Date). The Stock Option is completely vested on the fourth anniversary of the vesting start and will expire on December 30, 2024.