Form 4 for HRTX HERON THERAPEUTICS, INC. /DE/
Accepted 2021-10-15 00:00:00 ET · period of report 2021-10-13 · accession 0001209191-21-060551 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| D | 2021-10-15 | 2021-10-13 | HRTX | Quart Barry D | CEO, Dir | M - OptEx | — | +3,646 | 103.0K | +4% | — |
| D | 2021-10-15 | 2021-10-13 | HRTX | Quart Barry D | CEO, Dir | F - Tax | $10.55 | -963 | 102.1K | -0.9% | -$10.2K |
| D | 2021-10-15 | 2021-10-13 | HRTX | Quart Barry D | CEO, Dir | M - OptEx | $0.00 | -3,646 | 43.8K | -8% | $0 |
| DM | 2021-10-15 | 2021-10-13 | HRTX | Quart Barry D | CEO, Dir | A - Grant | $0.00 | +586.3K | 390.8K | New | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2021-10-13 | M | A | 3,646 | — | 103,049 | D | — | — | (F1) Restricted stock units convert into common stock on a one-for-one basis. |
| 2 | Common | Common Stock | 2021-10-13 | F | D | 963 | $10.55 | 102,086 | D | — | — | (F2) Represents the withholding by the Company of certain of the vested shares of restricted stock to satisfy the minimum statutory tax obligations applicable to such transactions. |
| 3 | Derivative | Restricted Stock Units | 2021-10-13 | M | D | 3,646 | $0.00 | 43,750 | D | — · — to — | 3,646 Common Stock | (F1) Restricted stock units convert into common stock on a one-for-one basis. (F3) The restricted stock units vest in 16 equal quarterly installments beginning one quarter after the date of grant (10/13/2020). |
| 4 | Derivative | Restricted Stock Units | 2021-10-13 | A | A | 195,417 | $0.00 | 195,417 | D | $0.00 · — to — | 195,417 Common Stock | (F5) The restricted stock units vest quarterly with 33% of the shares vesting during the first year, 33% of the shares vesting during the second year, 22% of the shares vesting during the third year and the remaining 12% of the shares vesting during the fourth year, such that all shares will be fully vested on the four year anniversary of the date of grant. |
| 5 | Derivative | Employee Stock Option (Right to Buy) | 2021-10-13 | A | A | 390,834 | $0.00 | 390,834 | D | $10.55 · — to 2031-10-13 | 390,834 Common Stock | (F4) The stock option vests and becomes exercisable monthly with 33% of the shares vesting during the first year, 33% of the shares vesting during the second year, 22% of the shares vesting during the third year and the remaining 12% of the shares vesting during the fourth year, such that the stock option will be fully vested on the four year anniversary of the date of grant. |