|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
|
|
|||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
|
|||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
| 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 control number. | SEC 1474 (9-02) | ||
|
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) |
4. Transaction 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 (Month/Day/Year) |
7. Title and Amount of Underlying Securities (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 | 03/11/2024 | M | 14,420 | (11) | (11) | Common Stock | 14,420 | $ 0 | 0 | D | ||||
| Restricted Stock Unit | $ 0 | 03/11/2024 | M | 20,001 | (12) | (12) | Common Stock | 20,001 | $ 0 | 40,003 | D | ||||
| Restricted Stock Unit | $ 0 | 03/11/2024 | M | 30,059 | (13) | (13) | Common Stock | 30,059 | $ 0 | 30,060 | D | ||||
| Reporting Owner Name / Address | Relationships | |||
| Director | 10% Owner | Officer | Other | |
| Blanchard Cheryl R 32 WIGGINS AVENUE BEDFORD, MA 01730 |
X | President, CEO, Director | ||
| /s/ Cheryl R. Blanchard | 03/12/2024 | |
| **Signature of Reporting Person | Date |
| * | If the form is filed by more than one reporting person, see Instruction 4(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). |
| (1) | Reflects the third and final vesting installment of Restricted Stock Units (RSUs) granted on March 9, 2021. |
| (2) | Includes the following shares acquired under the Anika Therapeutics, Inc. Employee Stock Purchase Plan: 152 shares purchased on May 12, 2023 and 787 shares purchased on November 14, 2023. |
| (3) | Reflects an aggregate of 6,973 shares of common stock retained by the Issuer to satisfy tax withholding obligations with respect to RSUs that vested on March 9, 2024. |
| (4) | Reflects the closing price of ANIK common stock on March 8, 2024, the trading day prior to which the vesting of RSUs gave rise to tax withholding obligations. |
| (5) | Reflects the first vesting installment of RSUs granted on March 9, 2023. |
| (6) | Reflects an aggregate of 6,473 shares of common stock retained by the Issuer to satisfy tax withholding obligations with respect to RSUs that vested on March 9, 2024. |
| (7) | Reflects the second vesting installment of RSUs granted on March 11, 2022. |
| (8) | Reflects an aggregate of 14,534 shares of common stock retained by the Issuer to satisfy tax withholding obligations with respect to RSUs that vested on March 11, 2024. |
| (9) | Reflects the closing price of ANIK common stock on March 11, 2024, the trading day on which the vesting of RSUs gave rise to tax withholding obligations. |
| (10) | Consists of shares transferred by Dr. Blanchard to The Cheryl R. Blanchard Amended and Restated Revocable Trust dated December 19, 2014, of which Dr. Blanchard is a beneficiary and the sole trustee. |
| (11) | 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 March 9, 2022. |
| (12) | 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 March 9, 2024. |
| (13) | 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 March 11, 2023. |