Anika Therapeutics, Inc. 10-Q

ITEM 5. OTHER INFORMATION.   Rule 10b5 - 1 Trading Plans   During the fiscal quarter ended June 30, 2023, none of the Company’s directors or executive officers adopted or terminated any contract, instruction or written plan for the purchase or sale of Company securities that was intended to satisfy the affirmative defense conditions of Rule 10b5 - 1 (c) or any “non-Rule 10b5 - 1 trading arrangement.   26       ITEM 6. EXHIBITS   Exhibit No. Description     3.1 Certificate of Incorporation of Anika Therapeutics, Inc. (incorporated by reference to Exhibit 3.1 to the Current Report on Form 8-K (File No.  001-14027) filed by the Registrant on June 6, 2018)     3.2 Bylaws of Anika Therapeutics, Inc., effective as of June 6, 2018 (incorporated by reference to Exhibit 3.2 to the Current Report on Form 8-K (File No. 001-14027) filed by the Registrant on June 6, 2018)     †10.1 Anika Therapeutics, Inc. 2017 Omnibus Incentive Plan (as amended effective June 14, 2023) (incorporated by reference to Exhibit 10.1 to the Current Report on Form 8-K filed on June 21, 2023)     10.2 Cooperation Agreement, dated April 13, 2023, by and among the Company and Caligan Partners LP, Caligan Partners Master Fund LP and David Johnson (incorporated by reference to Exhibit 10.1 to the Current Report on Form 8-K filed by the Registrant on April 13, 2023)     (31) Rule 13a-14(a)/15d-14(a) Certifications     *31.1 Certification of Dr. Cheryl R. Blanchard, pursuant to Rules 13a-15(e) and 15d-15(e), as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.     *31.2 Certification of Michael Levitz, pursuant to Rules 13a-15(e) and 15d-15(e), as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.     (32) Section 1350 Certifications     **32.1 Certification of Dr. Cheryl R. Blanchard, and Michael Levitz, pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of   the Sarbanes-Oxley Act of 2002.     (101) XBRL     *101 The following materials from Anika Therapeutics, Inc.’s Quarterly Report on Form 10-Q for the quarter ended June 30, 2023 as filed with the SEC on August 8, 2023, formatted in Inline XBRL (eXtensible Business Reporting Language), as follows:     i. Condensed Consolidated Balance Sheets as of June 30, 2023 (unaudited) and December 31, 2022 (unaudited)     ii. Condensed Consolidated Statements of Operations and Comprehensive Income for the Three and Six Months Ended June 30, 2023 and June 30, 2022 (unaudited)     iii. Condensed Consolidated Statements of Stockholders’ Equity for the Six Months Ended June 30, 2023 and June 30, 2022 (unaudited)     iv. Condensed Consolidated Statements of Cash Flows for the Six Months Ended June 30, 2023 and June 30, 2022 (unaudited)     v. Notes to Condensed Consolidated Financial Statements (unaudited)   104 Cover Page Interactive Data File (formatted as Inline XBRL and contained in Exhibit 101)   * Filed herewith. ** Furnished herewith. † Management contract or compensatory plan or arrangement.   27     SIGNATURES   Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized.       ANIKA THERAPEUTICS, INC.     (Registrant)       Date: August 8, 2023 By: /s/ MICHAEL LEVITZ     Michael Levitz     Executive Vice President, Chief Financial Officer and Treasurer     (Authorized Officer and Principal Financial Officer)       28