Statement of Changes in Beneficial Ownership (4)
March 03 2021 - 6:34PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Powell Fred M |
2. Issuer Name and Ticker or Trading Symbol
ANTARES PHARMA, INC.
[
ATRS
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Executive Vice President & CFO |
(Last)
(First)
(Middle)
C/O ANTARES PHARMA, INC., 100 PRINCETON STREET SOUTH, SUITE 300 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
3/1/2021 |
(Street)
EWING, NJ 08628
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 3/1/2021 | | A(1) | | 45829 | A | $0.00 | 736830 | D | |
Common Stock | 3/1/2021 | | F(1) | | 19899 | D | $4.50 | 716931 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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 | 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 of Derivative Security: 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 |
Explanation of Responses: |
(1) | On June 8, 2018, Mr. Powell was granted a performance stock unit award that was contingent upon achieving certain performance goals over the three-year performance period ended December 31, 2020. The number of shares acquired represent the number of shares earned upon achievement of one of the performance goals, which was certified and vested on March 1, 2021. The shares of common stock disposed represents the number of shares withheld by the company to settle tax liability in connection with the vesting of the performance stock unit award and were not actually sold. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Powell Fred M C/O ANTARES PHARMA, INC. 100 PRINCETON STREET SOUTH, SUITE 300 EWING, NJ 08628 |
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| Executive Vice President & CFO |
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Signatures
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/s/Keith Muckenhirn as attorney-in-fact for Fred M. Powell | | 3/3/2021 |
**Signature of Reporting Person | Date |
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