SEC Form 4 · accession 0001193805-16-002404
ADMA BIOLOGICS, INC. · ADMA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Dov A Goldstein M.D.
Director
Period of report
Jan 28, 2016
Accepted (ET)
Feb 1, 2016 · 7:22 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001368514
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Options to purchaseF3,F1,F2 | $5.96 | Jan 28, 2016 | A | 9,000 | A | — | Jan 28, 2026 | Common Stock | 9,000 | 9,000 | D |
Explanation of responses
- F1The exercise price reflects the per share fair market value of the Company's common stock, as determined by the closing price of the Company's common stock on the NASDAQ Stock Market on January 28, 2016, the date that the option grant was approved by the Company's board of directors.
- F2These options will vest monthly over a period of 24 months and terminate 12 months following separation.
- F3These stock options are held by Dr. Goldstein for the benefit of Aisling Capital LLC. Dr. Goldstein disclaims beneficial ownership of these securities and this report is not an admission that he is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of his pecuniary interest therein.