Create Alert
Sign Up
Sign In
Sign In
Sign Up
Contact Us
Careers
Terms and Conditions
Privacy
About Us
Home
Livefeed
Market Data
Companies
Filings
Ownership Search
Mutual Fund Search
Watchlist
My Watchlist
Create Alerts to view your Watchlist
Live Feed
Feed to the latest filings at the SEC
Type of Filers
All
Mutual Funds
Mutual 3 & ETFs
Mutual 2 & ETFs
Variable Insurance Products
Variable Insurance 1
Variable Insurance 3
Variable Insurance 4
Type of Forms
All
Annual Reports
10-K
10-K/A
18-K
20-F
20-F/A
24F-2NT
24F-2NT/A
40FR12B
MA/A
MA-I
MA-I/A
N-CSR
NSAR-B
NSAR-B/A
NT 10-K
TA-2/A
Quarterly Reports
10-Q
10-Q/A
N-Q
Proxy Statements
DEF 14 A
DEF 14C
DEFA14A
DEFC14A
DEFM14A
DFAN14A
N-PX/A
PRE 14 A
PRE 14C
PREC14A
PREM14A
PRER14A
PRRN14A
PX14A6G
Prospectus
425
POS AM
Current-Reports
8-K
8-K/A
Registrations
10-12B
10-12B/A
10-12G
10-12G/A
18-12B
18-12B/A
18-12G
18-12G/A
20FR12B
20FR12B/A
20FR12G
20FR12G/A
24F-2NT
24F-2NT/A
424A
424B1
424B2
424B3
424B4
424B5
424B7
485A24E
485BPOS
486BPOS
487
8-A12B
8-A12B/A
18-12G/A
8-A12G
8-A12G/A
DEL AM
F-1
F-1/A
F-1MEF
F-3
F-3/A
F-3DPOS
F-4
F-4/A
F-6
F-6/A
F-6 POS
N-1
N-14
N-14/A
N-1A
N-1/A
N-1A/A
N-2
N-2MEF
N-3
N-3/A
N-4
N-4/A
N-5
N-54A
N-54A/A
N-5/A
N-8A
N-8A/A
N-8B-2
N-8B-2/A
N-8B-4
N-8B-4/A
POS462B
POS462C
POS 8C
POS AM
POS AMI
POS EX
S-11
S-11/A
S-11MEF
S-1/A
S-1MEF
S-20
S-20/A
S-3
S-3/A
S-3D
S-3DPOS
S-3MEF
S-4EF
S-4MEF
S-4 POS
S-6
S-6/A
S-8
S-8 POS
Date Range
All
One Day Prior
Two Day Prior
Three Day Prior
ADMA BIOLOGICS, INC.
Date Filed :
Apr 02, 2024
View Exhibits
SEC FORM 4
SEC Form 4
FORM 4
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response:
0.5
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
1. Name and Address of Reporting Person
*
Kestenberg-Messina Kaitlin M.
(Last)
(First)
(Middle)
C/O ADMA BIOLOGICS, INC.
5800 PARK OF COMMERCE BLVD. NW,
(Street)
BOCA RATON
FL
33487
(City)
(State)
(Zip)
2. Issuer Name
and
Ticker or Trading Symbol
ADMA BIOLOGICS, INC.
[
ADMA
]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director
10% Owner
X
Officer (give title below)
Other (specify below)
COO and SVP, Compliance
3. Date of Earliest Transaction (Month/Day/Year)
03/31/2024
4. If Amendment, Date of Original Filed (Month/Day/Year)
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. Transaction Date (Month/Day/Year)
2A. Deemed Execution Date, if any (Month/Day/Year)
3. Transaction 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
03/31/2024
F
2,085
(1)
D
$
6.6
112,190
(2)
D
Common Stock
04/01/2024
A
192,320
(3)
A
$
0
304,510
(4)
D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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 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: 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
Stock Option (right to buy)
$
6.54
04/01/2024
A
300,328
(5)
04/01/2034
Common Stock
300,328
$
0
300,328
D
Explanation of Responses:
1. Represents shares withheld by the Issuer to satisfy the mandatory tax withholding requirements upon vesting of restricted stock units (RSUs). This is not an open market sale of securities.
2. As of the transaction date, represents 112,190 shares of Common Stock acquired pursuant to the vesting of RSUs.
3. These shares represent RSUs that will vest in four equal installments (25% per installment) on each annual anniversary of the date of grant over four years, in each case under the ADMA Biologics, Inc. 2022 Equity Compensation Plan (the "Plan") subject to the reporting person's continued service as of the applicable vesting date.
4. Includes, as of the transaction date, (i) 192,320 RSUs granted on April 1, 2024 and reported on this Form 4, subject to vesting as set forth in footnote (3); and (ii) 112,190 shares acquired pursuant to the vesting of RSUs.
5. The option vests over four years with 25% of the shares underlying the option vesting on the one-year anniversary of the grant date and the remaining 75% of such shares vesting monthly in equal installments over the next three years, becoming fully vested on the four-year anniversary of the grant date.
/s/ Kaitlin M. Kestenberg-Messina, by Adam S. Grossman as Attorney-in-fact
04/02/2024
** Signature of Reporting Person
Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* 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).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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 Number.
Stock View
Indices
by TradingView