SEC Form 4 · accession 0001593968-19-000563
Adamis Pharmaceuticals Corp · ADMP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Dennis J Carlo Ph.D.
Officer — President & CEO · Director
Period of report
Feb 21, 2019
Accepted (ET)
Feb 25, 2019 · 7:10 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000887247
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Feb 21, 2019 | M | 27,822 | — | A | 388,883 | D | |
| Common Stock | holding | — | — | — | 250,709 | I | By Dennis and Allison Carlo Joint Living Trust | |
| Common Stock | holding | — | — | — | 5,883 | I | By A.Carlo as custodian for Child |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1,F3 | — | Feb 21, 2019 | M | 27,822 | A | — | — | Common Stock | 27,822 | 55,645 | D |
Explanation of responses
- F1Represents the vesting of a portion of previously granted restricted stock units (RSU), with shares of common stock to be issued following vesting of the RSUs as described in the award agreement relating to the RSUs.
- F2Includes common stock, as well as restricted stock units granted on January 30, 2019, to the reporting person and previously reported on a Form 4.
- F3On February 21, 2018, the reporting person was granted 83,467 restricted stock units. 1/3 of the Restricted Stock Units vest on each anniversary of the grant date over a three year period provided that the Reporting Person has continued to provide services to the Company during such period.