Statement of Changes in Beneficial Ownership (4)
March 11 2021 - 4:09PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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3235-0287
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Blanchard Cheryl R |
2. Issuer Name and Ticker or Trading Symbol
Anika Therapeutics, Inc.
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ANIK
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) President, CEO, Director |
(Last)
(First)
(Middle)
32 WIGGINS AVENUE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
3/9/2021 |
(Street)
BEDFORD, MA 01730
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Restricted Stock Unit | $0.00 | 3/9/2021 | | A | | 43259 | | (1) | (1) | Common Stock | 43259 | $0 | 43259 | D | |
Stock Option (Right to Buy) | $37.40 (2) | 3/9/2021 | | A | | 108398 | | (3) | 3/9/2031 | Common Stock | 108398 | $0 | 108398 | D | |
Explanation of Responses: |
(1) | Each RSU represents the contingent right to receive one share of the Company's common stock. The RSUs vest in three equal annual installments beginning March 9, 2022. |
(2) | Represents a 10% premium above the closing price of Anika's common stock on the date of grant. |
(3) | The premium priced stock options vest in three equal annual installments beginning on March 9, 2022. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Blanchard Cheryl R 32 WIGGINS AVENUE BEDFORD, MA 01730 | X |
| President, CEO, Director |
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Signatures
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/s/ Cheryl R. Blanchard | | 3/11/2021 |
**Signature of Reporting Person | Date |
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