SEC Form 4 · accession 0001171843-19-001382
Anika Therapeutics, Inc. · ANIK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Edward S. Ahn
Officer — Chief Tech & Strategy Officer
Period of report
Feb 26, 2019
Accepted (ET)
Feb 28, 2019 · 4:30 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000898437
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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitF1 | $0.00 | Feb 26, 2019 | A | 4,500 | A | — | — | Common Stock | 4,500 | 4,500 | D |
| Stock Option (Right to Buy)F3,F2,F4 | $61.47 | Feb 27, 2019 | A | 5,625 | A | — | Jan 24, 2028 | Common Stock | 5,625 | 5,625 | D |
Explanation of responses
- F1Each RSU represents the contingent right to receive one share of the Company's common stock. The RSUs vest in three equal annual installments beginning February 26, 2020.
- F2The exercise price of the stock options represents the closing price of the Company's common stock on the grant date, January 24, 2018, the date the Compensation Committee of the Company granted these performance-based stock option awards (the "Performance Grant"). Please also see notes 3 and 4.
- F3On February 27, 2019, the Compensation Committee determined and certified that 63.9% of the initial Performance Grant had been earned, subject to time-based vesting. Please also see notes 2 and 4.
- F4The stock options vest in four equal installments on the following dates: February 27, 2019, January 1, 2020, January 1, 2021, and January 1, 2022.