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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
| Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) | ||
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1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) |
4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
| Stock Option (right to buy) | $ 49.51 | 06/07/2024 | M | 7,250 | (3) | 03/30/2027 | Common Stock | 7,250 | $ 49.51 | 0 | D | ||||
| Stock Option (right to buy) | $ 57.06 | 06/07/2024 | M | 5,300 | (4) | 04/05/2028 | Common Stock | 5,300 | $ 57.06 | 0 | D | ||||
| Reporting Owner Name / Address | Relationships | |||
| Director | 10% Owner | Officer | Other | |
| Marken James G. C/O ANI PHARMACEUTICALS, INC. 210 MAIN STREET WEST BAUDETTE, MN 56623 |
SVP OPS & PROD DEV | |||
| /s/ James G. Marken, by attorney-in-fact Meredith W. Cook | 06/11/2024 | |
| **Signature of Reporting Person | Date |
| * | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
| ** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
| (1) | The number of shares beneficially owned by the reporting person is amended in this Form 4 to correct an administrative error in a Form 4 filed on March 9, 2023, which misreported that 1,951 shares were withheld on March 7, 2023 to cover taxes on a vesting of shares on that date, when 1,591 shares were withheld. In correcting this administrative error, the number of shares beneficially owned by the reporting person reflects an increase of 360 shares. |
| (2) | The shares were sold in multiple trades at prices ranging from $67.64 to $68.10. The price reported above reflects the weighted average sales price. |
| (3) | 25% of the total options vested on each of March 31, 2018, March 31, 2019, March 31, 2020, and March 31, 2021. |
| (4) | 25% of the total options vested on each of April 6, 2019, April 6, 2020, April 6, 2021, and April 6, 2022. |