# EDGAR Filing Document

**Accession Number:** 0001542517
**File Stem:** 0001140361-23-010774
**Filing Date:** 2023-3
**Character Count:** 8831
**Document Hash:** 051940aa48055a450b12e8220ecec601
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001140361-23-010774.hdr.sgml**: 20230308

**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

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM 4

### STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

[ ] Check this box to indicate that a 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). See Instruction 10.

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>Grossman Adam S<br><sub>(Last) (First) (Middle)</sub><br>C/O ADMA BIOLOGICS, INC.<br>465 STATE ROUTE 17<br><sub>(Street)</sub><br>RAMSEY, NJ 07446<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2023-02-25 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[X] Director [ ] 10% Owner<br>[X] Officer (give title below) [ ] Other (specify below)<br>_President and CEO_ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>ADMA BIOLOGICS, INC. [ ADMA ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[X] Form filed by One Reporting Person<br>[ ] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | 3. Transaction Code (V) | 3. Transaction Code (V) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | Code | V | Amount | (A) or (D) | Price | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| Common Stock | 2023-02-25 |  | F |  | 4018 | D | $3.42 | 2032823 | D |  |
| Common Stock | 2023-02-25 |  | F |  | 14412 | D | $3.42 | 2018411 | D |  |
| Common Stock | 2023-02-28 |  | F |  | 7507 | D | $3.55 | 2010904 | D |  |
| Common Stock | 2023-03-06 |  | A |  | 573695<sup>(1)</sup> | A | $0 | 2584599 | D |  |
| Common Stock | 2023-03-07 |  | F |  | 23607 | D | $3.4 | 2560992<sup>(2)(3)(4)</sup> | D |  |
| Common Stock |  |  |  |  |  |  |  | 1143426 | I | See Footnote<sup>(4)</sup> |
| Common Stock |  |  |  |  |  |  |  | 580957 | I | See Footnote<sup>(5)</sup> |

---

## Table II - Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | 4. Transaction Code (V) | 4. Transaction Code (V) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 6. Date Exercisable and Expiration Date | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Underlying Securities | 7. Title and Amount of Underlying Securities | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| Employee Stock Option (right to buy) | $3.35 | 2023-03-06 |  | A |  | 1147385 |  | <sup>(6)</sup> | 2033-03-06 | Common Stock | 1147385 | $0 | 1147385 | D |  |

---

### Footnotes:

(1) 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;

(2) (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;

(3) (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.

(4) These shares are owned by Areth, LLC ("Areth"). The reporting person is a control person of Areth.

(5) These shares are owned by Hariden, LLC ("Hariden"). The reporting person is the managing member of Hariden.

(6) 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.

**Signature:** /s/ Adam S. Grossman, by Brian Lenz as Attorney-in-fact  
**Date:** 2023-03-08

### Remarks:

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.

* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).

** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).

Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.

**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 Number.**