New insider Mcleod Ian claimed ownership of 16,042 shares (SEC Form 3)
$ANIK
Medical/Dental Instruments
Health Care
| FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 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*
(Street)
|
2. Date of Event Requiring Statement
(Month/Day/Year) 04/05/2025 |
3. Issuer Name and Ticker or Trading Symbol
Anika Therapeutics, Inc. [ ANIK ] |
|||||||||||||
|
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
|
5. If Amendment, Date of Original Filed
(Month/Day/Year) |
||||||||||||||
6. Individual or Joint/Group Filing (Check Applicable Line)
| |||||||||||||||
| Table I - Non-Derivative Securities Beneficially Owned | |||
|---|---|---|---|
| 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 | 16,042 | D | |
|
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
|---|---|---|---|---|---|---|---|
| 1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: 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 | ||||
| Restricted Stock Unit | (1) | (1) | Common Stock | 2,197 | $0 | D | |
| Stock Option (Right to Buy) | (2) | 03/09/2033 | Common Stock | 2,362 | $29.6(3) | D | |
| Restricted Stock Unit | (4) | (4) | Common Stock | 5,317 | $0 | D | |
| Stock Option (Right to Buy) | (5) | 03/15/2034 | Common Stock | 6,346 | $27.98(3) | D | |
| Restricted Stock Unit | (6) | (6) | Common Stock | 11,324 | $0 | D | |
| Restricted Stock Unit | (7) | (7) | Common Stock | 2,536 | $0 | D | |
| Explanation of Responses: |
| 1. Each RSU represents the contingent right to receive one share of the Company's common stock. 6,590 RSUs were granted on March 9, 2023 and the RSUs vest in three equal annual installments beginning March 9, 2024. |
| 2. 7,086 stock options were granted on March 9, 2023. The stock options vest in three equal annual installments beginning on March 9, 2024. |
| 3. Represents a 10% premium above the closing price of Anika's common stock on the date of grant. |
| 4. 7,976 RSUs were granted on March 15, 2024. Each RSU represents the contingent right to receive, at the Company's discretion, one share of the Company's common stock, or the cash equivalent of the closing price of one share of the Company's common stock, on each vest date. The RSUs vest in three equal annual installments beginning March 15, 2025. |
| 5. 9,519 stock options were granted on March 15, 2024. The stock options vest in three equal annual installments beginning on March 15, 2025. |
| 6. 11,324 RSUs were granted on March 14, 2025. Each RSU represents the contingent right to receive, at the Company's discretion, one share of the Company's common stock, or the cash equivalent of the closing price of one share of the Company's common stock, on each vest date. The RSUs vest in three equal annual installments beginning March 14, 2026. |
| 7. 2,536 RSUs were granted on March 14, 2025. Each RSU represents the contingent right to receive, at the Company's discretion, one share of the Company's common stock, or the cash equivalent of the closing price of one share of the Company's common stock, on the vest date. The 2,536 RSUs represent the Target number of shares that may be earned in conjunction with certain market metrics prescribed under the terms of the performance-based phantom RSU award. The award shall cliff vest on the 3rd anniversary of the grant date, subject to the Compensation Committee's determination of achievement of the award prior to the vest date. The number of shares earned and subject to vest, as determined by the Compensation Committee, may be in a range from Threshold (50% of Target) to Maximum (200% of Target). No shares shall vest for achievement under Threshold. |
| /s/ Ian McLeod | 04/11/2025 | |
| ** Signature of Reporting Person | Date | |
| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
| * If the form is filed by more than one reporting person, see Instruction 5 (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). | ||
| Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
| 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 Number. | ||