Muthusamy Shanmugam - Nov 14, 2023 Form 4/A - Amendment Insider Report for ANI PHARMACEUTICALS INC (ANIP)

Role
HEAD OF R&D, COO-NOVITIUM OPS, Director
Signature
/s/ Muthusamy Shanmugam, by attorney-in-fact Meredith W. Cook
Stock symbol
ANIP
Transactions as of
Nov 14, 2023
Transactions value $
-$1,961,148
Form type
4/A - Amendment
Date filed
11/20/2023, 08:58 PM
Date Of Original Report
Nov 16, 2023
Previous filing
Oct 19, 2023
Next filing
Nov 20, 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction ANIP Common Stock Sale -$1.22M -22.9K -2.22% $53.17 1.01M Nov 14, 2023 Held by Esjay LLC F1, F2, F3
transaction ANIP Common Stock Sale -$410K -7.65K -0.76% $53.64 1M Nov 15, 2023 Held by Esjay LLC F1, F3, F4
transaction ANIP Common Stock Sale -$333K -6.45K -0.64% $51.66 996K Nov 16, 2023 Held by Esjay LLC F1, F3, F5
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Buy Plan / Sale Plan: These are also open market purchases/sales of shares, but in this case the transaction is part of a trading plan. Rule 10b5-1 allows insiders to setup a trading plan to buy/sell stocks over a certain period of time. Since the purchases/sales are predetermined, this protects the insiders from violating insider trading law.

Transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c).

Explanation of Responses:

Id Content
F1 The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 21, 2023.
F2 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions in prices ranging from $51.95 to $54.07, inclusive.
F3 The Reporting Person holds voting and dispositive power over the shares held by Esjay LLC.
F4 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions in prices ranging from $52.96 to $54.24, inclusive.
F5 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions in prices ranging from $51.14 to $52.70, inclusive

Remarks:

This amendment is being filed to address an administrative error in reporting the number of shares sold in a transaction on November 14, 2023.