| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | ANIP | Common Stock | Sale | -$761K | -14.7K | -1.1% | $51.93 | 1.32M | 20 Jun 2023 | Held by Esjay LLC | F1, F2, F3 |
| transaction | ANIP | Common Stock | Sale | -$615K | -11.8K | -0.9% | $51.95 | 1.31M | 21 Jun 2023 | Held by Esjay LLC | F1, F3, F4 |
| transaction | ANIP | Common Stock | Sale | -$694K | -13.5K | -1.03% | $51.38 | 1.29M | 22 Jun 2023 | Held by Esjay LLC | F1, F3, F5 |
| transaction | ANIP | Common Stock | Sale | -$515K | -10K | -0.77% | $51.49 | 1.28M | 23 Jun 2023 | Held by Esjay LLC | F1, F3, F6 |
| holding | ANIP | Common Stock | 47.4K | 20 Jun 2023 | Direct | ||||||
| holding | ANIP | Common Stock | 5K | 20 Jun 2023 | Held by SS Pharma LLC | F7 |
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).
| 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 $50.63 to $52.80, inclusive. The reporting person undertakes to provide to ANIPharmaceuticals, Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes 2, 4, 5 and 6 to this Form 4. |
| 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 $51.13 to $52.56, inclusive. |
| F5 | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions in prices ranging from $50.85 to $51.84, inclusive. |
| F6 | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions in prices ranging from $50.99 to $52.08, inclusive. |
| F7 | The reporting person holds voting and dispositive power over the shares held by SS Pharma LLC. |
This Form 4, as originally filed, incorrectly reported the sales on June 20, 2023, June 21, 2023 and June 22, 2023 as shares held by the reporting person directly. The shares from such sales were held indirectly by the reporting person by Esjay LLC.