SEC Form 4 · accession 0001144204-18-013389
ANI PHARMACEUTICALS INC · ANIP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James G. Marken
Officer — SVP Ops & Prod Dev
Period of report
Mar 5, 2018
Accepted (ET)
Mar 7, 2018 · 5:00 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 Stock | Mar 5, 2018 | M | 14,793 | $6.36 | A | 66,439 | D | |
| Common Stock | Mar 5, 2018 | M | 3,208 | $33.00 | A | 69,647 | D | |
| Common StockF1 | Mar 5, 2018 | S | 4,177 | $61.92 | D | 65,470 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionsF2 | $6.36 | Mar 5, 2018 | M | 14,793 | D | — | Mar 31, 2024 | Common Stock | 14,793 | 0 | D |
| Stock OptionsF3 | $33.00 | Mar 5, 2018 | M | 3,208 | D | — | Jul 11, 2023 | Common Stock | 3,208 | 1,667 | D |
Explanation of responses
- F1This transaction was executed in multiple trades at prices ranging from $62.80 to $63.01. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
- F2The options vested and become exercisable in equal annual amounts over a four-year period beginning on the first anniversary of the grant date. The grant date was July 12, 2013.
- F3The options vested and become exercisable in equal annual amounts over a four-year period beginning on the first anniversary of the grant date. The grant date was April 1, 2014.