01/03/2025 | Press release | Distributed by Public on 01/03/2025 20:01
FORM 4
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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 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) |
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) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Kestenberg-Messina Kaitlin M. C/O ADMA BIOLOGICS, INC. 5800 PARK OF COMMERCE BLVD. NW, BOCA RATON, FL 33487 |
COO and SVP, Compliance |
/s/ Kaitlin M. Kestenberg-Messina, by Michael A. Goldstein as Attorney-in-fact | 01/03/2025 |
**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) | 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) | Includes, as of the transaction date (i) 192,320 unvested RSUs granted on April 1, 2024, that will vest in equal quarterly installments 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; (ii) 22,500 unvested RSUs granted on July 24, 2023, that will vest in equal quarterly installments 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; (iii) 71,250 unvested RSUs granted on March 6, 2023, that will vest in equal quarterly installments 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; |
(3) | (continued from footnote 2) (iv) 20,000 unvested RSUs granted on March 7, 2022, that will vest in equal quarterly installments 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; (v) 5,000 unvested RSUs granted on February 25, 2021, that will vest in equal quarterly installments 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; and (vi) 133,517 shares of common stock owned by the reporting person, which reflects the prior net settlement upon vesting of previously granted RSUs after the withholding of shares to cover applicable taxes. |