Initial Statement of Beneficial Ownership (3)
October 20 2020 - 05:17PM
Edgar (US Regulatory)
FORM 3
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0104
Estimated average burden hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
Szekeres David Leslie |
2. Date of Event Requiring Statement (MM/DD/YYYY)
10/13/2020
|
3. Issuer Name and Ticker or Trading Symbol
HERON THERAPEUTICS, INC. /DE/ [HRTX]
|
(Last)
(First)
(Middle)
4242 CAMPUS POINT COURT, SUITE 200 |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner ___X___ Officer (give title below) _____ Other (specify below) EVP, Chief Operating Officer / |
(Street)
SAN DIEGO, CA 92121
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 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 Beneficially Owned
|
1.Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 3571 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security (Instr. 4) | 2. Date Exercisable and Expiration Date (MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Employee Stock Option (Right to Buy) | (1) | 3/17/2026 | Common Stock | 170000 | $16.20 | D | |
Employee Stock Option (Right to Buy) | (1) | 10/7/2026 | Common Stock | 50000 | $16.83 | D | |
Employee Stock Option (Right to Buy) | (2) | 12/21/2026 | Common Stock | 79167 | $13.00 | D | |
Employee Stock Option (Right to Buy) | (2) | 12/18/2027 | Common Stock | 90000 | $17.00 | D | |
Employee Stock Option (Right to Buy) | (2) | 12/15/2028 | Common Stock | 92000 | $24.97 | D | |
Employee Stock Option (Right to Buy) | (2) | 12/19/2029 | Common Stock | 115000 | $25.02 | D | |
Employee Stock Option (Right to Buy) | (2) | 10/13/2030 | Common Stock | 156000 | $15.72 | D | |
Restricted Stock Units | (3) | (3) | Common Stock | 20000 | $0.00 | D | |
Explanation of Responses: |
(1) | The stock option is fully vested and exercisable. |
(2) | The stock option vests and becomes exercisable in 48 equal monthly installments beginning one month after the date of grant. |
(3) | The restricted stock units vest in 16 equal quarterly installments beginning three months after the date of grant. |
Reporting Owners
|
Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Szekeres David Leslie 4242 CAMPUS POINT COURT SUITE 200 SAN DIEGO, CA 92121 |
|
| EVP, Chief Operating Officer |
|
Signatures
|
/s/ Lisa Peraza Attorney-in-fact for David Szekeres | | 10/20/2020 |
**Signature of Reporting Person | Date |
Heron Therapeautics (NASDAQ:HRTX)
Historical Stock Chart
From Feb 2024 to Mar 2024
Heron Therapeautics (NASDAQ:HRTX)
Historical Stock Chart
From Mar 2023 to Mar 2024