Statement of Changes in Beneficial Ownership (4)
March 01 2021 - 5:27PM
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
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Finnerty Thomas |
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)
_____ Director _____ 10% Owner
__X__ Officer (give title below) _____ Other (specify below)
EVP Human Resources |
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(Last)
(First)
(Middle)
32 WIGGINS AVENUE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
2/25/2021 |
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(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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| Common Stock (1) | 2/25/2021 | | M | | 2833 | A | $0 | 10414 | D | |
| Common Stock | 2/25/2021 | | F | | 832 (2) | D | $37.39 (3) | 9582 | D | |
| Common Stock (4) | 2/26/2021 | | M | | 3000 | A | $0 | 12582 | D | |
| Common Stock | 2/26/2021 | | F | | 881 (5) | D | $37.57 (6) | 11701 | D | |
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 | 2/25/2021 | | M | | | 2833 | (7) | (7) | Common Stock | 2833 | $0 | 5667 | D | |
| Restricted Stock Unit | $0.00 | 2/26/2021 | | M | | | 3000 | (8) | (8) | Common Stock | 3000 | $0 | 3000 | D | |
| Explanation of Responses: |
| (1) | Reflects the first vesting installment of RSUs granted on February 25, 2020. |
| (2) | Reflects an aggregate of 832 shares of common stock retained by the Issuer to satisfy tax withholding obligations with respect to RSUs that vested on February 25, 2021. |
| (3) | Reflects the closing price of the ANIK common stock on February 25, 2021, the trading day on which the vesting of RSUs gave rise to tax withholding obligations. |
| (4) | Reflects the second vesting installment of RSUs granted on February 26, 2019. |
| (5) | Reflects an aggregate of 881 shares of common stock retained by the Issuer to satisfy tax withholding obligations with respect to RSUs that vested on February 26, 2021. |
| (6) | Reflects the closing price of the ANIK common stock on February 26, 2021, the trading day on which the vesting of RSUs gave rise to tax withholding obligations. |
| (7) | 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 February 25, 2021. |
| (8) | 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 on February 26, 2020. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
Finnerty Thomas
32 WIGGINS AVENUE
BEDFORD, MA 01730 |
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| EVP Human Resources |
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Signatures
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| /s/ Thomas Finnerty | | 3/1/2021 |
| **Signature of Reporting Person | Date |
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