Statement of Ownership (sc 13g)
07 October 2022 - 09:05PM
Edgar (US Regulatory)
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UNITED STATES |
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SECURITIES AND EXCHANGE
COMMISSION |
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Washington, D.C. 20549 |
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SCHEDULE 13G
(Rule 13d-102)
Information Statement Pursuant to Rules 13d-1
Under the Securities Exchange Act of 1934
(Amendment No.)*
ANIKA THERAPEUTICS, INC.
(Name of Issuer)
Common Stock,
Par Value of $0.01 Per Share
(Title of Class of Securities)
035255108
(CUSIP Number)
September 20,
2022
Date of Event Which Requires Filing of the Statement
Check the appropriate box to designate the rule pursuant to which
this Schedule is filed:
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x |
Rule 13d-1(b) |
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¨ |
Rule 13d-1(c) |
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¨ |
Rule 13d-1(d) |
*The remainder of this cover page shall be
filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent
amendment containing information which would alter disclosures provided in a prior cover page.
The information required on the remainder of this
cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934
("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the
Act (however, see the Notes).
CUSIP
No. 035255108 |
Schedule
13G |
Page 2 of 12 |
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1. |
Name of Reporting Person
S.S. or I.R.S. Identification No. of Above Person
Trigran Investments, Inc. |
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2. |
Check the Appropriate Box if a Member of a Group |
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(a) |
¨ |
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(b) |
x |
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3. |
SEC Use Only |
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4. |
Citizenship or Place of Organization
Illinois corporation |
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Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With |
5. |
Sole Voting Power
0 |
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6. |
Shared Voting Power
1,415,411 shares of common stock |
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7. |
Sole Dispositive Power
0 |
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8. |
Shared Dispositive Power
1,493,245 shares of common stock |
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9. |
Aggregate Amount Beneficially Owned by Each Reporting Person
1,493,245 shares of common stock (1) |
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10. |
Check Box if the Aggregate Amount in
Row (9) Excludes Certain Shares ¨ |
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11. |
Percent of Class Represented by Amount in Row (9)
Approximately 10.2% (based on 14,599,937 shares of common stock issued and outstanding as of July 29, 2022, as reported in the Anika Therapeutics, Inc. Form 10-Q filed with the SEC on August 4, 2022) |
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12. |
Type of Reporting Person
IA/CO |
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(1) The Reporting Person disclaims beneficial
ownership of the shares reported in this Schedule 13G, except to the extent of its pecuniary interest.
CUSIP
No. 035255108 |
Schedule
13G |
Page 3 of 12 |
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1. |
Name of Reporting Person
S.S. or I.R.S. Identification No. of Above Person
Douglas Granat |
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2. |
Check the Appropriate Box if a Member of a Group |
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(a) |
¨ |
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(b) |
x |
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3. |
SEC Use Only |
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4. |
Citizenship or Place of Organization
U.S. Citizen |
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Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With |
5. |
Sole Voting Power
0 |
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6. |
Shared Voting Power
1,415,411 shares of common stock |
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7. |
Sole Dispositive Power
0 |
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8. |
Shared Dispositive Power
1,493,245 shares of common stock |
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9. |
Aggregate Amount Beneficially Owned by Each Reporting Person
1,493,245 shares of common stock (1) |
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10. |
Check Box if the Aggregate Amount in
Row (9) Excludes Certain Shares ¨ |
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11. |
Percent of Class Represented by Amount in Row (9)
Approximately 10.2% (based on 14,599,937 shares of common stock issued and outstanding as of July 29, 2022, as reported in the Anika Therapeutics, Inc. Form 10-Q filed with the SEC on August 4, 2022) |
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12. |
Type of Reporting Person
IN/HC |
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(1) The Reporting Person disclaims beneficial
ownership of the shares reported in this Schedule 13G, except to the extent of his pecuniary interest.
CUSIP
No. 035255108 |
Schedule
13G |
Page 4 of 12 |
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1. |
Name of Reporting Person
S.S. or I.R.S. Identification No. of Above Person
Lawrence A. Oberman |
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2. |
Check the Appropriate Box if a Member of a Group |
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(a) |
¨ |
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(b) |
x |
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3. |
SEC Use Only |
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4. |
Citizenship or Place of Organization
U.S. Citizen |
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Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With |
5. |
Sole Voting Power
0 |
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6. |
Shared Voting Power
1,415,411 shares of common stock |
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7. |
Sole Dispositive Power
0 |
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8. |
Shared Dispositive Power
1,493,245 shares of common stock |
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9. |
Aggregate Amount Beneficially Owned
by Each Reporting Person
1,493,245 shares of common stock (1) |
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10. |
Check Box if the Aggregate Amount in
Row (9) Excludes Certain Shares ¨ |
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11. |
Percent of Class Represented by Amount
in Row (9)
Approximately 10.2% (based on 14,599,937 shares of common stock issued and outstanding as of July 29, 2022, as reported in the
Anika Therapeutics, Inc. Form 10-Q filed with the SEC on August 4, 2022) |
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12. |
Type of Reporting Person
IN/HC |
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(1) The Reporting Person disclaims beneficial
ownership of the shares reported in this Schedule 13G, except to the extent of his pecuniary interest.
CUSIP No. 035255108 |
Schedule 13G |
Page 5 of 12 |
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1. |
Name of Reporting Person
S.S. or I.R.S. Identification No. of Above Person
Steven G. Simon |
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2. |
Check the Appropriate Box if a Member of a Group |
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(a) |
¨ |
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(b) |
x |
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3. |
SEC Use Only |
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4. |
Citizenship or Place of Organization
U.S. Citizen |
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Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With |
5. |
Sole Voting Power
0 |
|
6. |
Shared Voting Power
1,415,411 shares of common stock |
|
7. |
Sole Dispositive Power
0 |
|
8. |
Shared Dispositive Power
1,493,245 shares of common stock |
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9. |
Aggregate Amount Beneficially Owned
by Each Reporting Person
1,493,245 shares of common stock (1) |
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10. |
Check Box if the Aggregate Amount in
Row (9) Excludes Certain Shares ¨ |
|
|
11. |
Percent of Class Represented by Amount
in Row (9)
Approximately 10.2% (based on 14,599,937 shares of common stock issued and outstanding as of July 29, 2022, as reported in the
Anika Therapeutics, Inc. Form 10-Q filed with the SEC on August 4, 2022) |
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12. |
Type of Reporting Person
IN/HC |
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(1) The Reporting Person disclaims beneficial
ownership of the shares reported in this Schedule 13G, except to the extent of his pecuniary interest.
CUSIP No. 035255108 |
Schedule 13G |
Page 6 of 12 |
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1. |
Name of Reporting Person
S.S. or I.R.S. Identification No. of Above Person
Bradley F. Simon |
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2. |
Check the Appropriate Box if a Member of a Group |
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(a) |
¨ |
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(b) |
x |
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3. |
SEC Use Only |
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4. |
Citizenship or Place of Organization
U.S. Citizen |
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Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With |
5. |
Sole Voting Power
0 |
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6. |
Shared Voting Power
1,415,411 shares of common stock |
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7. |
Sole Dispositive Power
0 |
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8. |
Shared Dispositive Power
1,493,245 shares of common stock |
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9. |
Aggregate Amount Beneficially Owned
by Each Reporting Person
1,493,245 shares of common stock (1) |
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10. |
Check Box if the Aggregate Amount in
Row (9) Excludes Certain Shares ¨ |
|
|
11. |
Percent of Class Represented by Amount
in Row (9)
Approximately 10.2% (based on 14,599,937 shares of common stock issued and outstanding as of July 29, 2022, as reported in the
Anika Therapeutics, Inc. Form 10-Q filed with the SEC on August 4, 2022) |
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12. |
Type of Reporting Person
IN/HC |
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(1) The Reporting Person disclaims beneficial
ownership of the shares reported in this Schedule 13G, except to the extent of his pecuniary interest.
CUSIP No. 035255108 |
Schedule 13G |
Page 7 of 12 |
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1. |
Name of Reporting Person
S.S. or I.R.S. Identification No. of Above Person
Steven R. Monieson |
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2. |
Check the Appropriate Box if a Member of a Group |
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(a) |
¨ |
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(b) |
x |
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3. |
SEC Use Only |
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4. |
Citizenship or Place of Organization
U.S. Citizen |
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|
|
Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With |
5. |
Sole Voting Power
0 |
|
6. |
Shared Voting Power
1,415,411 shares of common stock |
|
7. |
Sole Dispositive Power
0 |
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8. |
Shared Dispositive Power
1,493,245 shares of common stock |
|
|
9. |
Aggregate Amount Beneficially Owned
by Each Reporting Person
1,493,245 shares of common stock (1) |
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10. |
Check Box if the Aggregate Amount in
Row (9) Excludes Certain Shares ¨ |
|
|
11. |
Percent of Class Represented by Amount
in Row (9)
Approximately 10.2% (based on 14,599,937 shares of common stock issued and outstanding as of July 29, 2022, as reported in the
Anika Therapeutics, Inc. Form 10-Q filed with the SEC on August 4, 2022) |
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12. |
Type of Reporting Person
IN/HC |
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(1) The Reporting Person disclaims beneficial
ownership of the shares reported in this Schedule 13G, except to the extent of his pecuniary interest.
CUSIP
No. 035255108 |
Schedule
13G |
Page 8 of 12 |
Item
1(a) |
Name
of Issuer:
Anika Therapeutics, Inc. |
Item
1(b) |
Address of Issuer’s Principal Executive Offices:
342 Wiggins Avenue
Bedford, Massachusetts 01730 |
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Item
2(a) |
Name
of Person Filing
See Item 2(c) |
Item
2(b) |
Address
of Principal Business Office
See Item 2(c) |
Item
2(c) |
Citizenship
Trigran Investments, Inc.
630 Dundee Road, Suite 230
Northbrook, IL 60062
Illinois corporation
Douglas Granat
630 Dundee Road, Suite 230
Northbrook, IL 60062
U.S. Citizen
Lawrence A. Oberman
630 Dundee Road, Suite 230
Northbrook, IL 60062
U.S. Citizen
Steven G. Simon
630 Dundee Road, Suite 230
Northbrook, IL 60062
U.S. Citizen
Bradley F. Simon
630 Dundee Road, Suite 230
Northbrook, Illinois 60062
U.S. Citizen
Steven R. Monieson
630 Dundee Road, Suite 230
Northbrook, Illinois 60062
U.S. Citizen |
Item
2(d) |
Title
of Class of Securities:
Shares of common stock, par value of $0.01 per share |
Item
2(e) |
CUSIP
Number:
035255108 |
Item 3 |
If this statement is filed pursuant
to Rules 13d-1(b), or 13d-2(b) or (c), check whether the person filing is a: |
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(a) |
¨ |
Broker or dealer registered under
section 15 of the Exchange Act; |
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(b) |
¨ |
Bank as defined in section 3(a)(6) of the Exchange
Act; |
CUSIP
No. 035255108 |
Schedule
13G |
Page 9 of 12 |
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(c) |
¨ |
Insurance company as defined in
section 3(a)(19) of the Exchange Act; |
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(d) |
¨ |
Investment company registered
under section 8 of the Investment Company Act; |
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(e) |
x |
An investment adviser in
accordance with Rule 13d-1(b)(1)(ii)(E); |
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(f) |
¨ |
An employee benefit plan
or endowment fund in accordance with Rule 13d-1(b)(1)(ii)(F); |
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(g) |
x |
A parent holding company
or control person in accordance with Rule 13d-1(b)(1)(ii)(G); |
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(h) |
¨ |
A savings association as
defined in Section 3(b) of the Federal Deposit Insurance Act; |
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(i) |
¨ |
A church plan that is excluded
from the definition of an investment company under section 3(c)(14) of the Investment Company Act; |
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(j) |
¨ |
A non-U.S. institution in accordance with Rule 13d–1(b)(1)(ii)(J); |
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(k) |
¨ |
Group, in accordance with Rule 13d-1(b)(1)(ii)(K).
If filing as a non-U.S. institution in accordance with Rule 13d–1(b)(1)(ii)(J), please specify the type of institution:______________ |
If
this statement is filed pursuant to Rule 13d-1(c), check this box. ¨ |
Item 4 |
Ownership:(2) |
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(a) |
Amount beneficially owned:
Incorporated by reference to Item 9 of the cover page pertaining
to each reporting person. |
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(b) |
Percent of class:
Incorporated by reference to Item 11 of the cover page pertaining
to each reporting person. |
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(c) |
Number of shares as to which such person has:
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(i) |
Sole power to vote or to direct the vote:
Incorporated by reference to Item 5 of the cover page pertaining
to each reporting person. |
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(ii) |
Shared power to vote or to direct the vote:
Incorporated by reference to Item 6 of the cover page pertaining
to each reporting person. |
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(iii) |
Sole power to dispose or to direct the disposition of:
Incorporated by reference to Item 7 of the cover page pertaining
to each reporting person. |
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(iv) |
Shared power to dispose or to direct the disposition of:
Incorporated by reference to Item 8 of the cover page pertaining
to each reporting person. |
(2) Douglas Granat, Lawrence A. Oberman, Steven G. Simon,
Bradley F. Simon, and Steven R. Monieson are the controlling shareholders and officers of Trigran Investments, Inc. and thus may
be considered the beneficial owners of shares beneficially owned by Trigran Investments, Inc. |
CUSIP
No. 035255108 |
Schedule
13G |
Page 10 of 12 |
Item
5 |
Ownership
of Five Percent or Less of a Class: |
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Not
Applicable. |
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Item
6 |
Ownership
of More than Five Percent on Behalf of Another Person: |
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Owners
of accounts managed by Trigran Investments, Inc. have or may have the right to receive or the power to direct the receipt of
dividends from, or the proceeds from the sale of, securities held in their accounts. No such account has such power with respect
to more than five percent of the class of securities to which this Schedule 13G relates. |
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Item
7 |
Identification
and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company: |
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Not
Applicable. |
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Item
8 |
Identification
and Classification of Members of the Group: |
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Not
Applicable. |
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Item
9 |
Notice
of Dissolution of Group: |
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Not
Applicable. |
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Item
10 |
Certification: |
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By
signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are
not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not
acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. |
CUSIP
No. 035255108 |
Schedule
13G |
Page 11 of 12 |
After reasonable inquiry
and to the best of its knowledge and belief, the undersigned Reporting Persons certify that the information set forth in this statement
is true, complete, and correct.
Date: October 6, 2022
TRIGRAN INVESTMENTS, INC. |
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By: |
/s/ Lawrence A. Oberman |
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Name: |
Lawrence A. Oberman |
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Title: |
Executive Vice President |
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/s/ Douglas Granat |
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Douglas Granat |
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/s/ Lawrence A. Oberman |
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Lawrence A. Oberman |
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/s/ Steven G. Simon |
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Steven G. Simon |
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/s/ Bradley F. Simon |
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Bradley F. Simon |
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/s/ Steven R. Monieson |
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Steven R. Monieson |
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CUSIP
No. 035255108 |
Schedule
13G |
Page 12 of 12 |
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