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Anika Therapeutics (ANIK) CEO granted 310,207 SARs and 130,402 RSUs

Filing Impact
(Neutral)
Filing Sentiment
(Neutral)
Form Type
4

Rhea-AI Filing Summary

Anika Therapeutics President and CEO Stephen D. Griffin, who is also a director, reported new equity awards effective February 1, 2026. He was granted 310,207 stock appreciation rights with an exercise price of $9.23 and 130,402 restricted stock units.

Both the stock appreciation rights and RSUs were awarded at no cash cost to him and are granted under Anika’s 2017 Omnibus Incentive Plan. They vest in three equal annual installments, beginning on February 1, 2027, conditioned on his continued service.

Following these awards, Griffin directly holds 10,671 shares of Anika common stock, which includes 800 shares acquired on November 14, 2025 through the company’s Employee Stock Purchase Plan. The stock appreciation rights may be settled in cash, shares, or a combination, and each RSU represents the right to one share or the cash equivalent on vesting.

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Insider Griffin Stephen D.
Role President and CEO
Type Security Shares Price Value
Grant/Award Stock Appreciation Rights 310,207 $0.00 --
Grant/Award Restricted Stock Unit 130,402 $0.00 --
holding Common Stock -- -- --
Holdings After Transaction: Stock Appreciation Rights — 310,207 shares (Direct); Restricted Stock Unit — 130,402 shares (Direct); Common Stock — 10,671 shares (Direct)
Footnotes (1)
  1. Includes 800 shares acquired on November 14, 2025 under the Anika Therapeutics, Inc. Employee Stock Purchase Plan. The Stock Appreciation Right is payable in cash, shares of common stock, or a combination thereof, in accordance with the Anika Therapeutics, Inc. 2017 Omnibus Incentive Plan, as amended, and the applicable award agreement. Vests in three equal annual installments, with the first installment vesting on February 1, 2027, subject to the Reporting Person's continuous service to the Issuer on each such date. Each RSU represents the contingent right to receive, at the Issuer's discretion, one share of the Issuer's common stock, or the cash equivalent of the closing price of one share of the Issuer's common stock, on each vest date, in accordance with the Anika Therapeutics, Inc. 2017 Omnibus Incentive Plan, as amended, and the applicable award agreement.
Form 4 Insider Transactions: What Each Field Means →
SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response: 0.5
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
1. Name and Address of Reporting Person*
Griffin Stephen D.
(Last) (First) (Middle)
32 WIGGINS AVENUE
(Street)
BEDFORD MA 01730
(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
Anika Therapeutics, Inc. [ ANIK ] 		5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director 10% Owner
X Officer (give title below) Other (specify below)
President and CEO
3. Date of Earliest Transaction (Month/Day/Year)
02/01/2026
4. If Amendment, Date of Original Filed (Month/Day/Year)
 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. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction 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 10,671(1) D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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 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: 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
Stock Appreciation Rights $9.23(2) 02/01/2026 A 310,207 (3) 02/01/2036 Common Stock 310,207 $0 310,207 D
Restricted Stock Unit (4) 02/01/2026 A 130,402 (3) (3) Common Stock 130,402 $0 130,402 D
Explanation of Responses:
1. Includes 800 shares acquired on November 14, 2025 under the Anika Therapeutics, Inc. Employee Stock Purchase Plan.
2. The Stock Appreciation Right is payable in cash, shares of common stock, or a combination thereof, in accordance with the Anika Therapeutics, Inc. 2017 Omnibus Incentive Plan, as amended, and the applicable award agreement.
3. Vests in three equal annual installments, with the first installment vesting on February 1, 2027, subject to the Reporting Person's continuous service to the Issuer on each such date.
4. Each RSU represents the contingent right to receive, at the Issuer's discretion, one share of the Issuer's common stock, or the cash equivalent of the closing price of one share of the Issuer's common stock, on each vest date, in accordance with the Anika Therapeutics, Inc. 2017 Omnibus Incentive Plan, as amended, and the applicable award agreement.
/s/ Stephen D. Griffin 02/03/2026
** 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 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).
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.

Source: View Original Filing on SEC EDGAR

FAQ

What insider transactions did Anika Therapeutics (ANIK) report for its CEO?

Anika Therapeutics reported that CEO Stephen D. Griffin received 310,207 stock appreciation rights and 130,402 restricted stock units on February 1, 2026. These equity awards were granted at no cash cost to him under the company’s 2017 Omnibus Incentive Plan, as amended.

How many Anika Therapeutics (ANIK) shares does CEO Stephen Griffin now own directly?

After the reported transactions, CEO Stephen Griffin directly owns 10,671 shares of Anika Therapeutics common stock. This figure includes 800 shares acquired on November 14, 2025 through the company’s Employee Stock Purchase Plan, reflecting his existing equity stake separate from the new derivative awards.

What are the terms of Stephen Griffin’s new stock appreciation rights at Anika Therapeutics (ANIK)?

Stephen Griffin received 310,207 stock appreciation rights with an exercise price of $9.23 per underlying share. These rights can be settled in cash, common stock, or a combination, and vest in three equal annual installments starting February 1, 2027, subject to his continued service.

How do the new restricted stock units for Anika Therapeutics (ANIK) CEO vest?

The 130,402 restricted stock units granted to Anika’s CEO vest in three equal annual installments, beginning February 1, 2027. Each RSU gives a contingent right to one share of common stock, or its cash equivalent, at the issuer’s discretion on each vesting date, under the 2017 Omnibus Incentive Plan.

What plan governs the new equity awards granted to the Anika Therapeutics (ANIK) CEO?

Both the stock appreciation rights and restricted stock units granted to Anika’s CEO are issued under the Anika Therapeutics, Inc. 2017 Omnibus Incentive Plan, as amended. The plan and the related award agreements specify settlement methods, vesting schedules, and the company’s discretion over cash or share delivery.

When do Stephen Griffin’s new Anika Therapeutics (ANIK) equity awards start vesting?

The new stock appreciation rights and restricted stock units granted to Stephen Griffin start vesting on February 1, 2027. They vest in three equal annual installments, and each vesting date is conditioned on his continuous service to Anika Therapeutics through those scheduled vesting dates.