Statement of Changes in Beneficial Ownership (4)
September 11 2020 - 7:00AM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
Grossman Jerrold B |
2. Issuer Name and Ticker or Trading Symbol
ADMA BIOLOGICS, INC.
[
ADMA
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner _____ Officer (give title below) _____ Other (specify below)
|
(Last)
(First)
(Middle)
C/O ADMA BIOLOGICS, INC., 465 STATE ROUTE 17 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
9/10/2020 |
(Street)
RAMSEY, NJ 07446
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security (Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. Code (Instr. 8)
|
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
|
5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
|
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
|
7. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
Amount
|
(A) or (D)
|
Price
|
Common Stock | 9/10/2020 | | P | | 5000 | A | $2.22 | 160864 (1) | D | |
Common Stock | | | | | | | | 22857 | I | See Footnote (2) |
Common Stock | | | | | | | | 31381 | I | See Footnote (3) |
Common Stock | | | | | | | | 38294 | I | See Footnote (4) |
Common Stock | | | | | | | | 175 | I | See Footnote (5) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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 | 7. Title and Amount of Securities Underlying Derivative Security (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) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
(1) | Includes 3,750 RSUs granted on February 28, 2020 which remain unvested as of the date hereof and will become fully vested on February 28, 2021, subject to the reporting person's continued service as of the applicable vesting date, and will be settled into common stock upon vesting. |
(2) | These shares are owned by Brookwood LLC ("Brookwood"). The reporting person is the managing member of Brookwood. |
(3) | These shares are owned by the Jerrold Grossman 2019 Irrevocable Trust, of which Dr. Grossman serves as investment trustee. |
(4) | These shares are owned by Genesis Foundation Inc. ("Genesis"). The reporting person is the President of Genesis. |
(5) | These shares are owned by the reporting person's wife. |
Reporting Owners
|
Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Grossman Jerrold B C/O ADMA BIOLOGICS, INC. 465 STATE ROUTE 17 RAMSEY, NJ 07446 | X |
|
|
|
Signatures
|
/s/ Dr. Jerrold B. Grossman, by Brian Lenz as Attorney-in-fact | | 9/11/2020 |
**Signature of Reporting Person | Date |
Adma Biologics (NASDAQ:ADMA)
Historical Stock Chart
From Apr 2024 to May 2024
Adma Biologics (NASDAQ:ADMA)
Historical Stock Chart
From May 2023 to May 2024