SEC Form 4 · accession 0001171843-15-000642
Anika Therapeutics, Inc. · ANIK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Sylvia Cheung
Officer — Chief Financial Officer
Period of report
Feb 3, 2015
Accepted (ET)
Feb 5, 2015 · 5:03 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000898437
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Feb 3, 2015 | A | 6,675 | $0.00 | A | 19,825 | 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)F2 | $39.69 | Feb 3, 2015 | A | 13,700 | A | — | Feb 3, 2025 | Common Stock | 13,700 | 13,700 | D |
| Stock Option (Right to Buy)F4,F3,F5 | $32.02 | Feb 3, 2015 | A | 4,600 | A | — | Jan 27, 2024 | Common Stock | 4,600 | 4,600 | D |
Explanation of responses
- F1Restricted stock awards vest in four equal annual installments beginning February 3, 2016.
- F2The stock options vest in four equal annual installments beginning February 3, 2016.
- F3The exercise price of the stock options represents the closing price of the Company's common stock on the grant date, January 27, 2014, the date the Compensation Committee of the Company granted these performance-based stock option awards (the "Performance Grant"). Please also see notes 4 and 5.
- F4On February 3, 2015, the Compensation Committee modified the performance measures under the Performance Grant and determined that under the modified performance measures 100% of the performance grant had been earned, subject to time-based vesting. Please also see notes 3 and 5.
- F5The stock options vest in four equal installments on the following dates: February 3, 2015, January 1, 2016, January 1, 2017 and January 1, 2018.