SEC Form 4 · accession 0001171843-17-001108
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 22, 2017
Accepted (ET)
Feb 24, 2017 · 4:05 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 22, 2017 | M | 5,000 | $10.99 | A | 37,725 | D | |
| Common StockF2 | Feb 22, 2017 | F | 1,117 | $49.20 | D | 36,608 | D | |
| Common Stock | Feb 22, 2017 | S | 2,000 | $49.01 | D | 34,608 | D | |
| Common StockF3,F4 | Feb 22, 2017 | M | 5,000 | $6.99 | A | 39,608 | D | |
| Common Stock | Feb 22, 2017 | S | 1,193 | $49.05 | D | 38,415 | D | |
| Common Stock | Feb 22, 2017 | S | 807 | $49.02 | D | 37,608 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Appreciation RightsF1 | $10.99 | Feb 22, 2017 | M | 5,000 | D | — | — | Common Stock | 5,000 | 0 | D |
| Stock Option (Right to buy)F3 | $6.99 | Feb 22, 2017 | M | 4,193 | D | — | — | Common Stock | 4,193 | 20,000 | D |
| Stock Option (Right to buy)F4 | $6.99 | Feb 22, 2017 | M | 807 | D | — | — | Common Stock | 807 | 0 | D |
Explanation of responses
- F1Exercise of stock appreciation rights ("SARS") granted on January 31, 2008, which vested in full on such date, and expiring on January 31, 2018.
- F2Reflects 1,117 shares of common stock utilized to cover the exercise price of the above listed SARs award by the Reporting Person on February 22, 2017.
- F3Exercise of 4,193 stock options granted on June 7, 2011 that are fully vested.
- F4Exercise of 807 stock options granted on June 7, 2011 that were fully vested.