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TADE BRAD L.
Date Filed :
Jul 26, 2024
View Exhibits
SEC FORM 3
SEC Form 3
FORM 3
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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:
3235-0104
Estimated average burden
hours per response:
0.5
1. Name and Address of Reporting Person
*
Tade Brad L.
(Last)
(First)
(Middle)
C/O ADMA BIOLOGICS, INC.
5800 PARK OF COMMERCE BLVD. NW
(Street)
BOCA RATON
FL
33487
(City)
(State)
(Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
07/24/2024
3. Issuer Name
and
Ticker or Trading Symbol
ADMA BIOLOGICS, INC.
[
ADMA
]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director
10% Owner
X
Officer (give title below)
Other (specify below)
CFO and Treasurer
5. 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 Beneficially Owned
1. Title of Security (Instr. 4)
2. Amount of Securities Beneficially Owned (Instr. 4)
3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)
4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock
17,033
(1)
D
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4)
2. Date Exercisable and Expiration Date (Month/Day/Year)
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)
4. Conversion or Exercise Price of Derivative Security
5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)
6. Nature of Indirect Beneficial Ownership (Instr. 5)
Date Exercisable
Expiration Date
Title
Amount or Number of Shares
Restricted Stock Units
(2)
(2)
Common Stock
75,000
$
0
(2)
D
Restricted Stock Units
(3)
(3)
Common Stock
50,000
$
0
(3)
D
Explanation of Responses:
1. Includes shares acquired in open market purchases and pursuant to the vesting of restricted stock units ("RSUs").
2. On June 26, 2023, the Issuer granted the reporting person 100,000 RSUs, 75,000 of which are currently unvested, with 25% vesting on each annual anniversary of the date of grant, over four years, subject to the reporting person's continued service as of the applicable vesting date, which RSUs will be settled into common stock upon vesting. Of the 25,000 RSUs that vested on June 26, 2024, 9,838 shares were withheld by the Issuer to satisfy mandatory tax withholding requirements.
3. On February 26, 2024, the Issuer granted the reporting person 50,000 RSUs, all of which are currently unvested, with 25% vesting on each annual anniversary of the date of grant, over four years, subject to the reporting person's continued service as of the applicable vesting date, which RSUs will be settled into common stock upon vesting.
Remarks:
Exhibit 24 - Power of Attorney
/s/ Brad L. Tade, by Adam S. Grossman as attorney-in-fact
07/26/2024
** 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 5 (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.
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