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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT 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 |
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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) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Stock Option (right to buy) | $ 1.34 | 01/03/2011 | M | 8,151 | (2) | 06/26/2018 | Common Stock | 8,151 | $ 0 | 3,531 | D | ||||
Stock Option (right to buy) | $ 1.51 | 01/03/2011 | M | 3,407 | (3) | 02/18/2019 | Common Stock | 3,407 | $ 0 | 2,434 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Thompson David E. C/O ANTHERA PHARMACEUTICALS, INC. 25801 INDUSTRIAL BOULEVARD, SUITE B HAYWARD, CA 94545 |
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/s/ Mitzi Chang, by power of attorney for David E. Thompson | 01/05/2011 | |
**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) | The Reporting Person currently holds these shares under his own name and plans to transfer them to the David E. Thompson Revocable Trust. |
(2) | This Stock Option, representing the right to purchase a total of 11,682 shares of common stock of the Issuer, became immediately exercisable with respect to 100% of the shares subject to this Stock Option on the June 26, 2008 vesting start date (the "Vesting Start Date"). However, all unvested shares underlying this Stock Option are subject to a right of repurchase held by the Issuer, which lapses according to the following vesting schedule: in equal monthly installments over a four-year period beginning from the Vesting Start Date. This Stock Option is completely vested on the fourth anniversary of the Vesting Start Date. |
(3) | This Stock Option, representing the right to purchase a total of 5,841 shares of common stock of the Issuer, became immediately exercisable with respect to 100% of the shares subject to this Stock Option on the August 13, 2008 vesting start date (the "Vesting Start Date"). However, all unvested shares underlying this Stock Option are subject to a right of repurchase held by the Issuer, which lapses according to the following vesting schedule: in equal monthly installments over a four-year period beginning from the Vesting Start Date. This Stock Option is completely vested on the fourth anniversary of the Vesting Start Date. |