Statement of Changes in Beneficial Ownership (4)
May 27 2014 - 4:39PM
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).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
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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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1. Name and Address of Reporting Person
*
PRZYBYL ARTHUR
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2. Issuer Name
and
Ticker or Trading Symbol
ANI PHARMACEUTICALS INC
[
ANIP
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__
X
__ Director
_____ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
President and CEO
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(Last)
(First)
(Middle)
C/O ANI PHARMACEUTICALS, INC., 210 MAIN STREET WEST
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3. Date of Earliest Transaction
(MM/DD/YYYY)
5/22/2014
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(Street)
BAUDETTE, MN 56623
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock
(1)
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5/22/2014
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A
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12800
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A
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$0
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188162
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D
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Option to Purchase
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$6.36
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5/22/2014
(2)
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A
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95833
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(3)
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7/11/2023
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Common Stock
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95833
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$0
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95833
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D
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Explanation of Responses:
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(
1)
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On April 1, 2014, the Board of Directors of the Issuer approved the grant of restricted stock, which vests in equal annual installments on the first, second, third and fourth anniversaries of the date of grant. The award was made contingent upon receipt by the Issuer of stockholder approval of the Issuer's Fourth Amended and Restated 2008 Stock Incentive Plan. On May 22, 2014, the award was granted upon the stockholders' approval of the Issuer's Fourth Amended and Restated 2008 Stock Incentive Plan at the Issuer's 2014 annual meeting of stockholders.
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(
2)
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On July 12, 2013, the Board of Directors of the Issuer approved the grant of options to purchase the Issuer's common stock at an exercise price of $6.36, the closing price of the Company's common stock on The NASDAQ Global Market on July 12, 2013, as adjusted to reflect the one-for-six reverse stock split effected on July 17, 2013. The award was made contingent upon receipt by the Issuer of stockholder approval of the Issuer's Fourth Amended and Restated 2008 Stock Incentive Plan. On May 22, 2014, the award was granted upon the stockholders' approval of the Issuer's Fourth Amended and Restated 2008 Stock Incentive Plan at the Issuer's 2014 annual meeting of stockholders.
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(
3)
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The options vest in an equal annual amount over a four-year period beginning on the first anniversary of the grant date.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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PRZYBYL ARTHUR
C/O ANI PHARMACEUTICALS, INC.
210 MAIN STREET WEST
BAUDETTE, MN 56623
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X
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President and CEO
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Signatures
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/s/ Jane A. Meyer, as attorney in fact
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5/27/2014
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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.
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