SEC Form 3 · accession 0001214659-16-010695
Anthera Pharmaceuticals Inc · ANTH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James Pennington
Officer — Interim Chief Medical Officer
Period of report
Apr 1, 2016
Accepted (ET)
Apr 5, 2016 · 1:04 pm EDT
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 | holding | — | — | — | 17,688 | 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) | $2.08 | holding | — | — | — | Oct 24, 2017 | Oct 24, 2017 | Common Stock | 4,746 | — | D |
| Stock option (right to buy) | $12.08 | holding | — | — | — | Feb 18, 2009 | Feb 18, 2019 | Common Stock | 3,651 | — | D |
| Stock option (right to buy)F1 | $4.88 | holding | — | — | — | — | May 17, 2023 | Common Stock | 25,000 | — | D |
| Stock option (right to buy)F2 | $1.58 | holding | — | — | — | — | Jan 1, 2025 | Common Stock | 20,000 | — | D |
| Stock option (right to buy)F3 | $4.75 | holding | — | — | — | — | May 21, 2025 | Common Stock | 70,000 | — | D |
| Stock option (right to buy)F4 | $3.44 | holding | — | — | — | — | Jan 15, 2026 | Common Stock | 20,000 | — | D |
| Stock option (right to buy)F5 | $3.75 | holding | — | — | — | — | Mar 4, 2026 | Common Stock | 45,000 | — | D |
Explanation of responses
- F1This stock option vests annually over four years beginning March 25, 2013 ("the Vesting Start Date"). The Stock Option is completely vested on the fourth anniversary of the vesting start date.
- F2This stock option vests annually over four years beginning January 1, 2015 ("the Vesting Start Date"). The Stock Option is completely vested on the fourth anniversary of the vesting start date.
- F3This stock option vests annually over four years beginning January 1, 2015 ("the Vesting Start Date"). The Stock Option is completely vested on the fourth anniversary of the vesting start date.
- F4This stock option vests annually over four years beginning January 1, 2016 ("the Vesting Start Date"). The Stock Option is completely vested on the fourth anniversary of the vesting start date.
- F5This stock option vests monthly over six months beginning April 1, 2016 ("the Vesting Start Date"). The Stock Option is completely vested on September 30, 2016