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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT 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) |
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 | ||||||||
Options to purchase | $ 9.6 | 11/19/2012 | A | 106,067 | (1) | 07/18/2022 | Common Stock | 106,067 | $ 0 | 106,067 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Mond James C/O ADMA BIOLOGICS, INC. 65 COMMERCE WAY HACKENSACK, NJ 07601 |
CSO/CMO |
/s/ James Mond | 10/20/2012 | |
**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) | These options, granted pursuant to the issuer's 2007 Stock Option Plan (the "Plan") vest over four years with 25% vesting on July 18, 2013, and the remaining 75% vesting in equal monthly installments over the next 36 months. The options were granted in July 2012, but the grant remained subject to approval by the stockholders of the issuer of an amendment to the Plan to increase the number of shares of common stock subject to the Plan from 561,000 to 711,200. Stockholder approval was obtained by means of a written consent and the issuer filed a related Information Statement on Schedule 14-C with the SEC on October 29, 2012. The amendment to the Plan became effective on November 19, 2012. |