-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, QSiYU8SJxvoJ7Fd2pkwgxyvQsFTF2u6SPF6bmhxAQMIlgDWf5eBNpPL7JhFjAULP j9yDC7TZJ+Qq8Ch7Qe3rqA== 0000912057-01-003429.txt : 20010131 0000912057-01-003429.hdr.sgml : 20010131 ACCESSION NUMBER: 0000912057-01-003429 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20010130 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ANIKA THERAPEUTICS INC CENTRAL INDEX KEY: 0000898437 STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836] IRS NUMBER: 043145961 STATE OF INCORPORATION: MA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: SEC FILE NUMBER: 005-45573 FILM NUMBER: 1519076 BUSINESS ADDRESS: STREET 1: 236 WEST CUMMINGS PARK CITY: WOBURN STATE: MA ZIP: 01801 BUSINESS PHONE: 6179326616 MAIL ADDRESS: STREET 1: 236 WEST CUMMINGS PARK CITY: WOBURN STATE: MA ZIP: 01801 FORMER COMPANY: FORMER CONFORMED NAME: ANIKA RESEARCH INC DATE OF NAME CHANGE: 19930309 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: HASTINGS HERBERT H & EURETTA L CENTRAL INDEX KEY: 0001105081 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: C/O MORRISON & FOERSTER LLP STREET 2: 19900 MACARTHUR BLVD 12TH FLOOR CITY: IRVINE STATE: CA ZIP: 92612-2445 BUSINESS PHONE: 9492517500 MAIL ADDRESS: STREET 1: C/O MORRISON & FOERSTER LLP STREET 2: 19900 MACARTHUR BLVD 12TH FLOOR CITY: IRVINE STATE: CA ZIP: 92612-2445 SC 13G/A 1 a2036623zsc13ga.txt SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G/A RULE 13d-102 UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. 1)* ANIKA THERAPEUTICS INC. ----------------------- (Name of Issuer) COMMON STOCK ------------ (Title of Class of Securities) 035255108 --------- (CUSIP Number) --------------------------------------------- (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which the Schedule is filed: [_] Rule 13d-1(b) [_] Rule 13d-1(c) [_] Rule 13d-1(d) * The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). CUSIP NO. 035255108 13G/A PAGE 2 OF 4 PAGES ----- ------------------ 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON HERBERT H. HASTINGS 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [_] (b) [_] 3 SEC USE ONLY 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States of America 5 SOLE VOTING POWER NUMBER OF NONE SHARES -------------------------------------------- 6 SHARED VOTING POWER* BENEFICIALLY 800,000 OWNED BY EACH 7 SOLE DISPOSITIVE POWER REPORTING NONE PERSON -------------------------------------------- 8 SHARED DISPOSITIVE POWER* WITH 800,000 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 800,000 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [_] 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 8.05% 12 TYPE OF REPORTING PERSON (See Instructions) IN *Consists of 800,000 shares held jointly by Herbert Hastings and Euretta Hastings, as to which shares they share voting and investment power. CUSIP NO. 035255108 13G/A PAGE 3 OF 4 PAGES ----- ------------------ 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON EURETTA L. HASTINGS 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [_] (b) [_] 3 SEC USE ONLY 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States of America 5 SOLE VOTING POWER NUMBER OF NONE SHARES -------------------------------------------- 6 SHARED VOTING POWER* BENEFICIALLY 800,000 OWNED BY EACH 7 SOLE DISPOSITIVE POWER REPORTING NONE PERSON -------------------------------------------- 8 SHARED DISPOSITIVE POWER* WITH 800,000 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 800,000 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [_] 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 8.05% 12 TYPE OF REPORTING PERSON (See Instructions) IN *Consists of 800,000 shares held jointly by Herbert Hastings and Euretta Hastings, as to which shares they share voting and investment power. CUSIP NO. 035255108 13G/A PAGE 4 OF 4 PAGES ----- ------------------ This Amendment No. 1 amends and supplements Item 4 of the statement on Schedule 13G, and the cover page thereto, filed on February 4, 2000, by Herbert Hastings and Euretta Hastings, with respect to Herbert Hastings' and Euretta Hastings' beneficial ownership of common stock issued by Anika Therapeutics Inc. Additionally, this Amendment No. 1 contains a Joint Filing Agreement entered into between Herbert Hastings and Euretta Hastings, attached hereto as Exhibit A. Item 4. Ownership. (a) Amount Beneficially Owned: 800,000 (see Note to Item 4(a)). Note to Item 4(a): Includes 800,000 shares held jointly by Herbert Hastings and Euretta Hastings, as to which shares they share voting and investment power. (b) Percent of Class (based on number of shares outstanding reported on the Issuer's Form 10-Q for the quarter ended 9/30/00): 8.05%. (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote: 0. (ii) shared power to vote or to direct the vote: 800,000 (see Note to Item 4(a)). (iii) sole power to dispose or to direct the disposition of: 0. (iv) shared power to dispose or to direct the disposition of: 800,000 (see Note to Item 4(a)). SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Date: January 23, 2001 Signature: /s/ HERBERT H. HASTINGS /s/ EURETTA L. HASTINGS ----------------------- ----------------------- Herbert H. Hastings Euretta L. Hastings EXHIBIT A Joint Filing Agreement Joint Filing Agreement, dated January 23, 2001, between Herbert H. Hastings and Euretta L. Hastings. The undersigned hereby agree that the Schedule 13G/A Statement to which this document is attached as Exhibit A is filed on behalf of each of them as provided in Rule 13d-1(k) of the General Rules and Regulations of the Securities and Exchange Commission pursuant to the Securities Exchange Act of 1934, as amended. Date: January 23, 2001 By: /s/ HERBERT H. HASTINGS ---------------------------------- Herbert H. Hastings, an individual By: /s/ EURETTA L. HASTINGS ---------------------------------- Euretta L. Hastings, an individual -----END PRIVACY-ENHANCED MESSAGE-----