Griffin Stephen D. 4

4 · Anika Therapeutics, Inc. · Filed Feb 3, 2026

AI-generated summary of this filing

Updated Feb 3, 2026

Anika (ANIK) CEO Stephen Griffin Receives Equity Awards

What Happened

Stephen D. Griffin, President & CEO and a director of Anika Therapeutics (ANIK), was granted derivative equity awards on 2026-02-01. The filing shows two awards: 310,207 units and 130,402 units, each reported with a $0.00 acquisition price (derivative awards, not open-market purchases). The combined total of the awards is 440,609 units.
These are compensation awards (not sales or purchases). One award is a Stock Appreciation Right (SAR) structure and the other is a Restricted Stock Unit (RSU) structure (see Key Details for vesting/settlement terms).

Key Details

Transaction date: 2026-02-01; Form 4 filed: 2026-02-03 (timely — within the usual two-business-day window).
Reported price: $0.00 for both awards (code A — grant/award).
Total units granted: 310,207 + 130,402 = 440,609 derivative units.
Shares owned after transaction: not reported in the supplied filing excerpt.
Footnotes of note:
- F1: Includes 800 shares acquired Nov 14, 2025 under the company ESPP.
- F2: The SAR may be settled in cash, shares, or a combination (per the 2017 Omnibus Incentive Plan).
- F3: The award that vests over time does so in three equal annual installments, with first vesting on Feb 1, 2027, subject to continued service.
- F4: Each RSU is the contingent right to receive one share (or cash equivalent) on the vesting date.
Transaction code: A = Award/Grant (compensation). Not a purchase (P) or sale (S).

Context

SARs: give the holder the right to receive the appreciation in the stock price, payable in cash, stock, or both — value depends on future stock performance.
RSUs: are rights to receive shares (or cash equivalent) on vesting dates; they do not represent current share ownership until settled/vested.
These awards reflect compensation to the CEO and are routine for executives; they are not the same signal as an insider buying shares on the open market.

Form 4

Period: 2026-02-01

DirectorPresident and CEO

Transactions

Award
Stock Appreciation Rights
[F2][F3]
2026-02-01+310,207→ 310,207 total
Exercise: $9.23Exp: 2036-02-01→ Common Stock (310,207 underlying)
Award
Restricted Stock Unit
[F4][F3]
2026-02-01+130,402→ 130,402 total
→ Common Stock (130,402 underlying)

Holdings

Footnotes (4)

[F1]Includes 800 shares acquired on November 14, 2025 under the Anika Therapeutics, Inc. Employee Stock Purchase Plan.
[F2]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.
[F3]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.
[F4]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.

Signature

/s/ Stephen D. Griffin|2026-02-03

1 file