SEC Form 4 · accession 0001214659-17-005657
Anthera Pharmaceuticals Inc · ANTH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
May Liu
Officer — Principal Accounting Officer
Period of report
Sep 15, 2017
Accepted (ET)
Sep 15, 2017 · 8:46 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001316175
Table I — non-derivative securities
No Table I lines on this filing.
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)F1 | $96.64 | Sep 15, 2017 | J | 365 | D | — | Feb 19, 2019 | Common Stock | 365 | 0 | D |
| Stock option (right to buy)F2 | $96.64 | Sep 15, 2017 | J | 9 | D | — | Apr 15, 2019 | Common Stock | 9 | 0 | D |
| Stock option (right to buy)F3 | $39.04 | Sep 15, 2017 | J | 10,938 | D | — | May 17, 2023 | Common Stock | 10,938 | 0 | D |
| Stock option (right to buy)F4 | $24.16 | Sep 15, 2017 | J | 10,000 | D | — | Dec 16, 2023 | Common Stock | 10,000 | 0 | D |
| Stock option (right to buy)F5 | $26.40 | Sep 15, 2017 | J | 843 | D | — | Mar 25, 2024 | Common Stock | 843 | 0 | D |
| Stock option (right to buy)F6 | $12.88 | Sep 15, 2017 | J | 15,000 | D | — | Dec 30, 2024 | Common Stock | 15,000 | 0 | D |
| Stock option (right to buy)F7 | $75.84 | Sep 15, 2017 | J | 5,000 | D | — | Sep 17, 2025 | Common Stock | 5,000 | 0 | D |
| Stock option (right to buy)F8 | $75.94 | Sep 15, 2017 | J | 3,750 | D | — | Sep 17, 2025 | Common Stock | 3,750 | 0 | D |
| Stock option (right to buy)F9 | $22.88 | Sep 15, 2017 | J | 926 | D | — | Feb 12, 2026 | Common Stock | 926 | 0 | D |
| Stock option (right to buy)F10 | $28.16 | Sep 15, 2017 | J | 10,000 | D | — | Jun 9, 2026 | Common Stock | 10,000 | 0 | D |
Explanation of responses
- F1On September 15, 2017, the reporting person and the Company agreed to cancel a stock option to purchase 365 shares of common stock dated February 18, 2009 (the "option"), which option was previously reported on a Form 3 filed with the SEC on May 28, 2013. The option was to vest monthly over four years beginning August 12, 2008. The Option completely vested on August 12, 2012 and would expire on February 18, 2019. Shares and price have been adjusted for to reflect 1-for-8 reverse split effectuated on July 15, 2013 and April 28, 2017.
- F10On September 15, 2017, the reporting person and the Company agreed to cancel a stock option to purchase 10,000 shares of common stock dated June 12, 2016 (the "option"), which option was previously reported on a Form 4 filed with the SEC on June 13, 2016. The option was to vest monthly over four years beginning January 1, 2016. The Option would completely vest on January 1, 2020 and expire on June 12, 2026. Shares and price have been adjusted for to reflect 1-for-8 reverse split effectuated on April 28, 2017.
- F2On September 15, 2017, the reporting person and the Company agreed to cancel a stock option to purchase 9 shares of common stock dated April 15, 2009 (the "option"), which option was previously reported on Form 3 filed with the SEC on May 28, 2013. The option was vested immediately on April 14, 2009 and expire on April 15, 2019. Shares and price have been adjusted for to reflect 1-for-8 reverse split effectuated on July 15, 2013 and April 28, 2017.
- F3On September 15, 2017, the reporting person and the Company agreed to cancel a stock option to purchase 10,938 shares of common stock dated May 16, 2013 (the "option"), which option was previously reported on a Form 3 filed with the SEC on May 28, 2013. The option was to vest annually over four years beginning March 25, 2013. The Option completely vested on March 25, 2017 and would expire on May 16, 2023. Shares and price have been adjusted for to reflect 1-for-8 reverse split effectuated on July 15, 2013 and April 28, 2017.
- F4On September 15, 2017, the reporting person and the Company agreed to cancel a stock option to purchase 10,000 shares of common stock dated December 16, 2013 (the "option"), which option was previously reported on a Form 4 filed with the SEC on December 18, 2013. The option was to vest monthly over four years beginning October 1, 2013. The Option would completely vest on October 1, 2017 and would expire on December 16, 2023. Shares and price have been adjusted for to reflect 1-for-8 reverse split effectuated on April 28, 2017.
- F5On September 15, 2017, the reporting person and the Company agreed to cancel a stock option to purchase 843 shares of common stock dated March 24, 2014 (the "option"), which option was previously reported on a Form 4 filed with the SEC on March 27, 2014. The option vested immediately on March 25, 2014 and would expire on March 25, 2014. Shares and price have been adjusted for to reflect 1-for-8 reverse split effectuated on April 28, 2017.
- F6On September 15, 2017, the reporting person and the Company agreed to cancel a stock option to purchase 15,000 shares of common stock dated December 30, 2014 (the "option"), which option was previously reported on a Form 4 filed with the SEC on January 2, 2015. The option was to vest monthly over four years beginning December 30, 2014. The Option would completely vest on the December 30, 2018 and would have expired December 30, 2024. Shares and price have been adjusted for to reflect 1-for-8 reverse split effectuated on April 28, 2017.
- F7On September 15, 2017, the reporting person and the Company agreed to cancel a stock option to purchase 5,000 shares of common stock dated September 17, 2015 (the "option"), which option was previously reported on a Form 4 filed with the SEC on September 18, 2015. The option was to vest monthly over four years beginning December 30, 2014. The Option would completely vest on December 30, 2018 and expire on September 17, 2025. Shares and price have been adjusted for to reflect 1-for-8 reverse split effectuated on April 28, 2017.
- F8On September 15, 2017, the reporting person and the Company agreed to cancel a stock option to purchase 3,750 shares of common stock dated September 17, 2015 (the "option"), which option was previously reported on a Form 4 filed with the SEC on September18, 2015. The option was to vest monthly over four years beginning September 17, 2015. The Option would completely vest on September 17, 2019 and expire on September 17, 2025. Shares and price have been adjusted for to reflect 1-for-8 reverse split effectuated on April 28, 2017.
- F9On September 15, 2017, the reporting person and the Company agreed to cancel a stock option to purchase 926 shares of common stock dated February 12, 2016 (the "option"), which option was previously reported on a Form 4 filed with the SEC on February 16, 2016. The option vested immediately on February 12, 2016 and would expire on February 12, 2016. Shares and price have been adjusted for to reflect 1-for-8 reverse split effectuated on April 28, 2017.