0001140361-23-010774.txt : 20230308 0001140361-23-010774.hdr.sgml : 20230308 20230308213053 ACCESSION NUMBER: 0001140361-23-010774 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230225 FILED AS OF DATE: 20230308 DATE AS OF CHANGE: 20230308 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Grossman Adam S CENTRAL INDEX KEY: 0001542517 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36728 FILM NUMBER: 23717989 MAIL ADDRESS: STREET 1: 65 COMMERCE WAY CITY: HACKENSACK STATE: NJ ZIP: 07601 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: ADMA BIOLOGICS, INC. CENTRAL INDEX KEY: 0001368514 STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836] IRS NUMBER: 562590442 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: C/O ADMA BIOLOGICS, INC. STREET 2: 465 STATE ROUTE 17 CITY: RAMSEY STATE: NJ ZIP: 07446 BUSINESS PHONE: (201) 478-5552 MAIL ADDRESS: STREET 1: C/O ADMA BIOLOGICS, INC. STREET 2: 465 STATE ROUTE 17 CITY: RAMSEY STATE: NJ ZIP: 07446 FORMER COMPANY: FORMER CONFORMED NAME: R&R ACQUISITION VI, INC DATE OF NAME CHANGE: 20060707 4 1 form4.xml X0306 4 2023-02-25 0001368514 ADMA BIOLOGICS, INC. ADMA 0001542517 Grossman Adam S C/O ADMA BIOLOGICS, INC. 465 STATE ROUTE 17 RAMSEY NJ 07446 true true President and CEO Common Stock 2023-02-25 4 F 0 4018 3.42 D 2032823 D Common Stock 2023-02-25 4 F 0 14412 3.42 D 2018411 D Common Stock 2023-02-28 4 F 0 7507 3.55 D 2010904 D Common Stock 2023-03-06 4 A 0 573695 0 A 2584599 D Common Stock 2023-03-07 4 F 0 23607 3.4 D 2560992 D Common Stock 1143426 I See Footnote Common Stock 580957 I See Footnote Employee Stock Option (right to buy) 3.35 2023-03-06 4 A 0 1147385 0 A 2033-03-06 Common Stock 1147385 1147385 D Includes, as of the transaction date, (i) 573,695 RSUs granted on March 6, 2023 that will vest quarterly on the date of grant, over four years, subject to the reporting person's continued service as of the applicable vesting date; (ii) 225,000 unvested RSUs granted on March 7, 2022 that will vest quarterly on the date of grant, over four years, subject to the reporting person's continued service as of the applicable vesting date and that will be settled into common stock upon vesting; (iii) 453,750 unvested Time-Based RSUs granted on September 29, 2021, subject to time based vesting conditions (the "Time-Based RSUs") which will vest in eight (8) equal quarterly installments over a period of two years following December 31, 2022, becoming fully vested on December 31, 2024 and that will be settled into common stock upon vesting, subject to the reporting person's continued employment on the applicable vesting date; (continued from footnote 1) (iv) 104,341 unvested RSUs granted on February 25, 2021, of which 91,575 unvested RSUs will vest quarterly on each anniversary of the date of grant, over four years, subject to the reporting person's continued service as of the applicable vesting date and 12,766 unvested RSUs are subject to cliff vesting with one-third of such RSUs vesting on each anniversary of the date of grant over three years, subject to the reporting person's continued service as of the applicable vesting date, and in each case will be settled into common stock upon vesting; (continued from footnote 2) (v) 25,000 unvested RSUs granted on February 28, 2020, which vest quarterly on each anniversary of the date of grant, over four years, subject to the reporting person's continued service as of the applicable vesting date and will be settled into common stock upon vesting; and (vi) 1,179,206 shares of common stock owned by the reporting person, which reflects prior purchases and the prior net settlement upon vesting of previously granted RSUs after the withholding of shares to cover applicable taxes. These shares are owned by Areth, LLC ("Areth"). The reporting person is a control person of Areth. These shares are owned by Hariden, LLC ("Hariden"). The reporting person is the managing member of Hariden. The options vest over four years with 25% of the shares of common stock underlying the options vesting on the one year anniversary of the date of grant and the remaining 75% of such shares vesting monthly in equal installments over the next three years, becoming fully vested on March 6, 2027. /s/ Adam S. Grossman, by Brian Lenz as Attorney-in-fact 2023-03-08