Initial Statement of Beneficial Ownership (3)
October 15 2020 - 4:29PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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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
*
Peraza Lisa |
2. Date of Event Requiring Statement (MM/DD/YYYY)
10/13/2020
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3. Issuer Name and Ticker or Trading Symbol
HERON THERAPEUTICS, INC. /DE/ [HRTX]
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(Last)
(First)
(Middle)
4242 CAMPUS POINT COURT, SUITE 200 |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner
___X___ Officer (give title below) _____ Other (specify below)
VP, Chief Accounting Officer / |
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(Street)
SAN DIEGO, CA 92121
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 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 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 | 11259 | 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. 4) | 2. Date Exercisable and Expiration Date
(MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: 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 |
| Employee Stock Option (Right to Buy) | (1) | 3/31/2024 | Common Stock | 35000 | $13.91 | D | |
| Employee Stock Option (Right to Buy) | (1) | 12/12/2024 | Common Stock | 17417 | $9.05 | D | |
| Employee Stock Option (Right to Buy) | (1) | 12/22/2025 | Common Stock | 20000 | $29.41 | D | |
| Employee Stock Option (Right to Buy) | (1) | 10/7/2026 | Common Stock | 20000 | $16.83 | D | |
| Employee Stock Option (Right to Buy) | (2) | 12/21/2026 | Common Stock | 27500 | $13.00 | D | |
| Employee Stock Option (Right to Buy) | (2) | 2/13/2027 | Common Stock | 25000 | $13.85 | D | |
| Employee Stock Option (Right to Buy) | (2) | 12/18/2027 | Common Stock | 27500 | $17.00 | D | |
| Employee Stock Option (Right to Buy) | (2) | 12/15/2028 | Common Stock | 20160 | $24.97 | D | |
| Employee Stock Option (Right to Buy) | (2) | 12/19/2029 | Common Stock | 26400 | $25.02 | D | |
| Explanation of Responses: |
| (1) | The stock option is fully vested and exercisable. |
| (2) | The stock option vests and becomes exercisable in 48 equal monthly installments beginning one month after the date of grant. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
Peraza Lisa
4242 CAMPUS POINT COURT
SUITE 200
SAN DIEGO, CA 92121 |
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| VP, Chief Accounting Officer |
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Signatures
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| /s/ Lisa Peraza | | 10/15/2020 |
| **Signature of Reporting Person | Date |
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