SEC Form 4 · accession 0001144204-16-134966
ANI PHARMACEUTICALS INC · ANIP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert E. Brown Jr.
Director
Period of report
Nov 15, 2016
Accepted (ET)
Nov 16, 2016 · 4:21 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001023024
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Nov 15, 2016 | M | 3,125 | $6.36 | A | 13,235 | D | |
| Common StockF1 | Nov 15, 2016 | M | 2,333 | $33.00 | A | 15,568 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Option to PurchaseF1 | $6.36 | Nov 15, 2016 | M | 3,125 | D | Jul 12, 2013 | Jul 11, 2023 | Common Stock | 3,125 | 1,042 | D |
| Option to PurchaseF1 | $33.00 | Nov 15, 2016 | M | 2,333 | D | Apr 1, 2014 | Mar 31, 2024 | Common Stock | 2,333 | 1,167 | D |
Explanation of responses
- F1The Reporting Person acquired the shares reported in Table I via a cash exercise of the options reported in Table II.