SEC Form 4 · accession 0001144204-18-027745
ANI PHARMACEUTICALS INC · ANIP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Tracy Marshbanks
Director
Period of report
May 9, 2018
Accepted (ET)
May 11, 2018 · 6:30 pm EDT
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,F4 | May 9, 2018 | S | 20,517 | $62.05 | D | 430,084 | I | See Footnote |
| Common StockF2,F4 | May 10, 2018 | S | 17,685 | $62.14 | D | 412,399 | I | See Footnote |
| Common StockF3,F4 | May 10, 2018 | S | 24,229 | $62.03 | D | 388,170 | I | See Footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1This transaction was executed in multiple trades at prices ranging from $62.00 to $62.335. 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.
- F2This transaction was executed in multiple trades at prices ranging from $62.00 to $62.5425. 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.
- F3This transaction was executed in multiple trades at prices ranging from $62.00 to $62.11. 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.
- F4Held by FA Private Equity Fund IV, L.P., FA Private Equity Fund IV GmbH & Co. Beteiligungs KG, The Productivity Fund IV Liquidating Trust, and The Productivity Fund IV Advisors Fund Liquidating Trust, which the Reporting Person may be deemed to be a beneficial owner pursuant to rule 16a-1(a)(1).