SEC FORM 3 SEC Form 3
FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

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*
Peraza Lisa

(Last) (First) (Middle)
4242 CAMPUS POINT COURT
SUITE 200

(Street)
SAN DIEGO CA 92121

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
10/13/2020
3. Issuer Name and Ticker or Trading Symbol
HERON THERAPEUTICS, INC. /DE/ [ HRTX ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
VP, Chief Accounting Officer
5. If Amendment, Date of Original Filed (Month/Day/Year)
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 11,259 D
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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: 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) 03/31/2024 Common Stock 35,000 13.91 D
Employee Stock Option (Right to Buy) (1) 12/12/2024 Common Stock 17,417 9.05 D
Employee Stock Option (Right to Buy) (1) 12/22/2025 Common Stock 20,000 29.41 D
Employee Stock Option (Right to Buy) (1) 10/07/2026 Common Stock 20,000 16.83 D
Employee Stock Option (Right to Buy) (2) 12/21/2026 Common Stock 27,500 13 D
Employee Stock Option (Right to Buy) (2) 02/13/2027 Common Stock 25,000 13.85 D
Employee Stock Option (Right to Buy) (2) 12/18/2027 Common Stock 27,500 17 D
Employee Stock Option (Right to Buy) (2) 12/15/2028 Common Stock 20,160 24.97 D
Employee Stock Option (Right to Buy) (2) 12/19/2029 Common Stock 26,400 25.02 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.
Remarks:
/s/ Lisa Peraza 10/15/2020
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* 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).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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