SEC Form 4 · accession 0001193805-17-001300
ADMA BIOLOGICS, INC. · ADMA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Adam S Grossman
Officer — President and CEO · Director
Period of report
Jul 13, 2017
Accepted (ET)
Jul 17, 2017 · 5:14 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001368514
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Jul 13, 2017 | M | 42,021 | $2.68 | A | 45,732 | D | |
| Common Stock | Jul 13, 2017 | F | 34,126 | $3.30 | D | 11,606 | D | |
| Common StockF1 | holding | — | — | — | 580,957 | I | See Footnote | |
| Common StockF2 | holding | — | — | — | 259,000 | I | See Footnote |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (right to buy)F3 | $2.68 | Jul 13, 2017 | M | 42,021 | D | — | Jul 16, 2017 | Common Stock | 42,021 | 0 | D |
Explanation of responses
- F1These shares are owned by Hariden, LLC ("Hariden"). The reporting person is the managing member of Hariden.
- F2These shares are owned by Areth, LLC ("Areth"). The reporting person is a control person of Areth.
- F3Twenty-five percent (25%) of the shares subject to the option vested on July 16, 2007 (the "First Anniversary Date"), and the remaining seventy-five percent (75%) of the shares subject to the option vested in equal monthly installments over the three (3) year period following the First Anniversary Date.