0001140361-24-010243.txt : 20240228 0001140361-24-010243.hdr.sgml : 20240228 20240228210049 ACCESSION NUMBER: 0001140361-24-010243 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240226 FILED AS OF DATE: 20240228 DATE AS OF CHANGE: 20240228 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Grossman Adam S CENTRAL INDEX KEY: 0001542517 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36728 FILM NUMBER: 24698428 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] ORGANIZATION NAME: 03 Life Sciences 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 FORM 4 X0508 4 2024-02-26 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 false Common Stock 2024-02-26 4 A 0 557728 0 A 2766581 D Common Stock 1143426 I See Footnote Common Stock 580957 I See Footnote Stock Option (right to buy) 5.4 2024-02-26 4 A 0 870950 0 A 2034-02-26 Common Stock 870950 870950 D These shares represent restricted stock units ("RSUs") that will vest quarterly on each three-month anniversary of the date of grant over four years in accordance with the ADMA Biologics, Inc. 2022 Equity Compensation Plan (the "Plan"), subject to the reporting person's continued service as of the applicable vesting date. Includes, as of the transaction date, (i) 557,728 RSUs granted on February 26, 2024 and reported on this Form 4, subject to vesting as set forth in footnote (1); (ii) 573,695 RSUs granted on March 6, 2023 that will vest quarterly on each three-month anniversary of the date of grant, over four years, subject to the reporting person's continued service as of the applicable vesting date; (iii) 225,000 unvested RSUs granted on March 7, 2022 that will vest quarterly on each three-month anniversary of 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; (iv) 226,875 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 (continued from footnote 2) common stock upon vesting, subject to the reporting person's continued employment on the applicable vesting date; (v) 45,785 unvested RSUs granted on February 25, 2021, which will vest in equal quarterly installments on each three-month anniversary of the date of grant, over four years, subject to the reporting person's continued service as of the applicable vesting date, will be settled into common stock upon vesting; (continued from footnote 3) and (vi) 1,137,498 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 option vests over four years with 25% of the shares of Common Stock underlying the option 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 February 26, 2028 in accordance with the Plan. /s/ Adam S. Grossman, by Brian Lenz as Attorney-in-fact 2024-02-28