Statement of Changes in Beneficial Ownership (4)
July 15 2021 - 4:53PM
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
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
|
1. Name and Address of Reporting Person
*
Szekeres David Leslie |
2. Issuer Name and Ticker or Trading Symbol
HERON THERAPEUTICS, INC. /DE/
[
HRTX
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner
__X__ Officer (give title below) _____ Other (specify below)
EVP, Chief Operating Officer |
|
(Last)
(First)
(Middle)
4242 CAMPUS POINT COURT, SUITE 200 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
7/13/2021 |
|
(Street)
SAN DIEGO, CA 92121
(City)
(State)
(Zip)
|
4. 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
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security
(Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. Code
(Instr. 8)
|
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
|
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
|
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
|
7. Nature of Indirect Beneficial Ownership (Instr. 4)
|
|
Code
|
V
|
Amount
|
(A) or (D)
|
Price
|
| Common Stock | 4/30/2021 | | J(1) |
V
| 1530 | A | $13.8975 | 2347 | D | |
| Common Stock | 7/13/2021 | | M | | 1250 | A | (2) | 3597 | D | |
| Common Stock | 7/13/2021 | | F | | 433 | D(3) | $13.48 | 3164 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
|
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 Units | (2) | 7/13/2021 | | M | | | 1250 | (4) | (4) | Common Stock | 1250 | $0.00 | 16250 | D | |
| Explanation of Responses: |
| (1) | Represents shares acquired under the Heron Therapeutics, Inc. 1997 Employee Stock Purchase Plan on April 30, 2021. |
| (2) | Restricted stock units convert into common stock on a one-for-one basis. |
| (3) | Represents the withholding by the Company of certain of the vested shares of restricted stock to satisfy the minimum statutory tax obligations applicable to such transactions. |
| (4) | The restricted stock units vest in 16 equal quarterly installments beginning three months after the date of grant (10/13/2020). |
Reporting Owners
|
| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
Szekeres David Leslie
4242 CAMPUS POINT COURT
SUITE 200
SAN DIEGO, CA 92121 |
|
| EVP, Chief Operating Officer |
|
Signatures
|
| /s/ Lisa Peraza Attorney-in-fact for David Szekeres | | 7/15/2021 |
| **Signature of Reporting Person | Date |
Heron Therapeautics (NASDAQ:HRTX)
Historical Stock Chart
From Mar 2024 to Apr 2024
Heron Therapeautics (NASDAQ:HRTX)
Historical Stock Chart
From Apr 2023 to Apr 2024
