FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 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*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 04/01/2013 |
3. Issuer Name and Ticker or Trading Symbol
ANIKA THERAPEUTICS INC [ ANIK ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock (ANIK) | 7,050 | D |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Incentive Stock Options | (1) | 08/01/2015 | Common Stock | 10,000 | $12.61 | D | |
Stock Appreciation Rights | (2) | 01/31/2018 | Common Stock | 5,000 | $10.99 | D | |
Stock Appreciation Rights | (3) | 01/26/2020 | Common Stock | 35,000 | $6.36 | D | |
Incentive Stock Options | (4) | 01/18/2021 | Common Stock | 25,000 | $6.98 | D | |
Incentive Stock Options | (5) | 06/07/2021 | Common Stock | 24,193 | $6.99 | D | |
Non-Qualified Stock Options | (5) | 06/07/2021 | Common Stock | 807 | $6.99 | D | |
Incentive Stock Options | (6) | 01/25/2022 | Common Stock | 7,501 | $9.1 | D | |
Non-Qualified Stock Options | (7) | 01/25/2022 | Common Stock | 7,499 | $9.1 | D | |
Incentive Stock Options | (8) | 01/29/2023 | Common Stock | 17,305 | $10.87 | D | |
Non-Qualified Stock Options | (9) | 01/29/2023 | Common Stock | 27,695 | $10.87 | D |
Explanation of Responses: |
1. The stock options vest in four equal installments as follows: August 1, 2006, August 1, 2007, August 1, 2008, and August 1, 2009 |
2. The stock appreciation rights vest in threw equal installments as follows: January 31, 2009, January 31, 2010 and January 31, 2011 |
3. The stock appreciation rights vest in four equal installments as follows: January 26, 2011, January 26, 2012, January 26, 2013, and January 26, 2014 |
4. The stock options vest in four equal installments as follows: January 18, 2012, January 18, 2013, January 18, 2014, and January 18, 2015 |
5. The stock options vest in three equal installments as follows: March 1, 2012, January 1, 2013, and January 1, 2014 |
6. The stock options vest as follows: 1 option at January 25, 2013, 3,375 options at January 25, 2014 and 3,375 options at January 25, 2015 |
7. The stock options vest as follows: 3,749 options at January 25, 2013 and 3,750 options at January 25, 2014 |
8. The stock options vest as follows: 2,046 options at January 29, 2015, 6,060 options at January 29, 2016 and 9,199 options at January 29, 2017 |
9. The stock options vest as follows: 11,250 options at January 29, 2014, 9,204 options at January 29, 2015, 5,190 options at January 29, 2016, and 2,051 options at January 29, 2017 |
Remarks: |
/s/ Sylvia Cheung | 04/01/2013 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |