UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
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 control number. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
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) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Series A-1 Convertible Preferred Stock | Â (1) | Â (1) | Common Stock | 33,960 | $ (2) | D | Â |
Series A-2 Convertible Preferred Stock | Â (3) | Â (3) | Common Stock | 12,980 | $ (2) | D | Â |
Stock Option (right to buy) | Â (4) | 03/13/2017 | Common Stock | 5,841 | $ 0.26 | D | Â |
Stock Option (right to buy) | Â (5) | 06/26/2018 | Common Stock | 29,205 | $ 1.34 | D | Â |
Stock Option (right to buy) | Â (6) | 02/18/2019 | Common Stock | 5,841 | $ 1.51 | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
HENNEY CHRISTOPHER S C/O ANTHERA PHARMACEUTICALS, INC. 25801 INDUSTRIAL BOULEVARD, SUITE B HAYWARD, CA 94545 |
 X |  |  |  |
/s/ Mitzi Chang, by power of attorney for Christopher S. Henney, Ph.D. | 02/23/2010 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(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). |
(1) | The Series A-1 Convertible Preferred Stock is convertible on a one-for-one basis at any time at the holder's election and has no expiration date. |
(2) | Not applicable. |
(3) | The Series A-2 Convertible Preferred Stock is convertible on a one-for-one basis at any time at the holder's election and has no expiration date. |
(4) | 100% of the shares subject to this Stock Option are immediately exercisable. However, all unvested shares underlying this Stock Option are subject to a right of repurchase held by the Issuer, which will lapse according to the following vesting schedule: in equal monthly installments over a one-year period beginning from the March 13, 2007 vesting start date (the "Vesting Start Date"). This Stock Option is completely vested on the first anniversary of the Vesting Start Date. |
(5) | 100% of the shares subject to this Stock Option are immediately exercisable. However, all unvested shares underlying this Stock Option are subject to a right of repurchase held by the Issuer, which will lapse according to the following vesting schedule: in equal monthly installments over a four-year period beginning from the April 23, 2008 vesting start date (the "Vesting Start Date"). This Stock Option is completely vested on the fourth anniversary of the Vesting Start Date. |
(6) | 100% of the shares subject to this Stock Option are immediately exercisable. However, all unvested shares underlying this Stock Option are subject to a right of repurchase held by the Issuer, which will lapse according to the following vesting schedule: in equal monthly installments over a four-year period beginning from the August 12, 2008 vesting start date (the "Vesting Start Date"). This Stock Option is completely vested on the fourth anniversary of the Vesting Start Date. |
 Remarks: Exhibit List   Exhibit 24.1 - Power of Attorney |