Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| ANI PHARMACEUTICALS INCANIP · Entity 4638 | Director | May 14, 2018 | May 16, 2018 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
ANI PHARMACEUTICALS INC
Report date May 14, 2018 · Filed May 16, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 349,934 |
Last balance in matching sequence
After 2018-05-16 transaction · row 3
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
3 source rowsRow 1 · 2018-05-14 · Sale · Disposed 5,506 · Balance 382,664 F1: This transaction was executed in multiple trades at prices ranging from $62.00 to $62.64. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F4: Held by FA Private Equity Fund IV, L.P., FA Private Equity Fund IV GmbH & Co. Beteiligungs KG, The Productivity Fund IV Liquidating Trust, and The Productivity Fund IV Advisors Fund Liquidating Trust, which the Reporting Person may be deemed to be a beneficial owner pursuant to rule 16a-1(a)(1). Row 2 · 2018-05-15 · Sale · Disposed 7,024 · Balance 375,640 F2: This transaction was executed in multiple trades at prices ranging from $62.00 to $62.11. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F4: Held by FA Private Equity Fund IV, L.P., FA Private Equity Fund IV GmbH & Co. Beteiligungs KG, The Productivity Fund IV Liquidating Trust, and The Productivity Fund IV Advisors Fund Liquidating Trust, which the Reporting Person may be deemed to be a beneficial owner pursuant to rule 16a-1(a)(1). Row 3 · 2018-05-16 · Sale · Disposed 25,706 · Balance 349,934 F3: This transaction was executed in multiple trades at prices ranging from $62.00 to $62.72. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F4: Held by FA Private Equity Fund IV, L.P., FA Private Equity Fund IV GmbH & Co. Beteiligungs KG, The Productivity Fund IV Liquidating Trust, and The Productivity Fund IV Advisors Fund Liquidating Trust, which the Reporting Person may be deemed to be a beneficial owner pursuant to rule 16a-1(a)(1). |
Filing footnotes · ownership attribution and instrument terms
F1: This transaction was executed in multiple trades at prices ranging from $62.00 to $62.64. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
F2: This transaction was executed in multiple trades at prices ranging from $62.00 to $62.11. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
F3: This transaction was executed in multiple trades at prices ranging from $62.00 to $62.72. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
F4: Held by FA Private Equity Fund IV, L.P., FA Private Equity Fund IV GmbH & Co. Beteiligungs KG, The Productivity Fund IV Liquidating Trust, and The Productivity Fund IV Advisors Fund Liquidating Trust, which the Reporting Person may be deemed to be a beneficial owner pursuant to rule 16a-1(a)(1).
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| May 16, 2018 Filed May 16, 2018 20:22 UTC | ANI PHARMACEUTICALS INC ANIP · Entity 4638 | SaleCommon Stock | 25,706 | $62.40 | $1,604,054.40 |
DisclosureSEC source: 0001144204-18-029225 · tv494389_form4.xml · nonDerivative · entry 3 MARSHBANKS TRACY · CIK 0001579618 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 349,934 F3 · price: This transaction was executed in multiple trades at prices ranging from $62.00 to $62.72. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F4 · ownership.nature: Held by FA Private Equity Fund IV, L.P., FA Private Equity Fund IV GmbH & Co. Beteiligungs KG, The Productivity Fund IV Liquidating Trust, and The Productivity Fund IV Advisors Fund Liquidating Trust, which the Reporting Person may be deemed to be a beneficial owner pursuant to rule 16a-1(a)(1). Read SEC document |
| May 15, 2018 Filed May 16, 2018 20:22 UTC | ANI PHARMACEUTICALS INC ANIP · Entity 4638 | SaleCommon Stock | 7,024 | $62.05 | $435,839.20 |
DisclosureSEC source: 0001144204-18-029225 · tv494389_form4.xml · nonDerivative · entry 2 MARSHBANKS TRACY · CIK 0001579618 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 375,640 F2 · price: This transaction was executed in multiple trades at prices ranging from $62.00 to $62.11. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F4 · ownership.nature: Held by FA Private Equity Fund IV, L.P., FA Private Equity Fund IV GmbH & Co. Beteiligungs KG, The Productivity Fund IV Liquidating Trust, and The Productivity Fund IV Advisors Fund Liquidating Trust, which the Reporting Person may be deemed to be a beneficial owner pursuant to rule 16a-1(a)(1). Read SEC document |
| May 14, 2018 Filed May 16, 2018 20:22 UTC | ANI PHARMACEUTICALS INC ANIP · Entity 4638 | SaleCommon Stock | 5,506 | $62.35 | $343,299.10 |
DisclosureSEC source: 0001144204-18-029225 · tv494389_form4.xml · nonDerivative · entry 1 MARSHBANKS TRACY · CIK 0001579618 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 382,664 F1 · price: This transaction was executed in multiple trades at prices ranging from $62.00 to $62.64. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F4 · ownership.nature: Held by FA Private Equity Fund IV, L.P., FA Private Equity Fund IV GmbH & Co. Beteiligungs KG, The Productivity Fund IV Liquidating Trust, and The Productivity Fund IV Advisors Fund Liquidating Trust, which the Reporting Person may be deemed to be a beneficial owner pursuant to rule 16a-1(a)(1). Read SEC document |
| May 10, 2018 Filed May 11, 2018 22:30 UTC | ANI PHARMACEUTICALS INC ANIP · Entity 4638 | SaleCommon Stock | 24,229 | $62.03 | $1,502,924.87 |
DisclosureSEC source: 0001144204-18-027745 · tv493975_4.xml · nonDerivative · entry 3 MARSHBANKS TRACY · CIK 0001579618 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 388,170 F3 · price: This transaction was executed in multiple trades at prices ranging from $62.00 to $62.11. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F4 · ownership.nature: Held by FA Private Equity Fund IV, L.P., FA Private Equity Fund IV GmbH & Co. Beteiligungs KG, The Productivity Fund IV Liquidating Trust, and The Productivity Fund IV Advisors Fund Liquidating Trust, which the Reporting Person may be deemed to be a beneficial owner pursuant to rule 16a-1(a)(1). Read SEC document |
| May 10, 2018 Filed May 11, 2018 22:30 UTC | ANI PHARMACEUTICALS INC ANIP · Entity 4638 | SaleCommon Stock | 17,685 | $62.14 | $1,098,945.90 |
DisclosureSEC source: 0001144204-18-027745 · tv493975_4.xml · nonDerivative · entry 2 MARSHBANKS TRACY · CIK 0001579618 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 412,399 F2 · price: This transaction was executed in multiple trades at prices ranging from $62.00 to $62.5425. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F4 · ownership.nature: Held by FA Private Equity Fund IV, L.P., FA Private Equity Fund IV GmbH & Co. Beteiligungs KG, The Productivity Fund IV Liquidating Trust, and The Productivity Fund IV Advisors Fund Liquidating Trust, which the Reporting Person may be deemed to be a beneficial owner pursuant to rule 16a-1(a)(1). Read SEC document |
| May 09, 2018 Filed May 11, 2018 22:30 UTC | ANI PHARMACEUTICALS INC ANIP · Entity 4638 | SaleCommon Stock | 20,517 | $62.05 | $1,273,079.85 |
DisclosureSEC source: 0001144204-18-027745 · tv493975_4.xml · nonDerivative · entry 1 MARSHBANKS TRACY · CIK 0001579618 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 430,084 F1 · price: This transaction was executed in multiple trades at prices ranging from $62.00 to $62.335. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F4 · ownership.nature: Held by FA Private Equity Fund IV, L.P., FA Private Equity Fund IV GmbH & Co. Beteiligungs KG, The Productivity Fund IV Liquidating Trust, and The Productivity Fund IV Advisors Fund Liquidating Trust, which the Reporting Person may be deemed to be a beneficial owner pursuant to rule 16a-1(a)(1). Read SEC document |
| April 18, 2018 Filed Apr 19, 2018 22:33 UTC | ANI PHARMACEUTICALS INC ANIP · Entity 4638 | SaleCommon Stock | 33,200 | $62.09 | $2,061,388.00 |
DisclosureSEC source: 0001144204-18-021409 · tv491462_4.xml · nonDerivative · entry 1 MARSHBANKS TRACY · CIK 0001579618 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 450,601 F1 · price: This transaction was executed in multiple trades at prices ranging from $62.00 to $62.68. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person. F2 · ownership.nature: Held by FA Private Equity Fund IV, L.P., FA Private Equity Fund IV GmbH & Co. Beteiligungs KG, The Productivity Fund IV Liquidating Trust, and The Productivity Fund IV Advisors Fund Liquidating Trust, which the Reporting Person may be deemed to be a beneficial owner pursuant to rule 16a-1(a)(1). Read SEC document |
| March 14, 2018 Filed Mar 16, 2018 21:54 UTC | ANI PHARMACEUTICALS INC ANIP · Entity 4638 | SaleCommon Stock | 1,912 | $63.10 | $120,647.20 |
DisclosureSEC source: 0001144204-18-015361 · tv488790_form4.xml · nonDerivative · entry 1 MARSHBANKS TRACY · CIK 0001579618 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 483,801 F1 · price: This transaction was executed in multiple trades at prices ranging from $63.00 to $63.23. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F2 · ownership.nature: Held by FA Private Equity Fund IV, L.P., FA Private Equity Fund IV GmbH & Co. Beteiligungs KG, The Productivity Fund IV Liquidating Trust, and The Productivity Fund IV Advisors Fund Liquidating Trust, which the Reporting Person may be deemed to be a beneficial owner pursuant to rule 16a-1(a)(1). Read SEC document |
| March 12, 2018 Filed Mar 12, 2018 23:26 UTC | ANI PHARMACEUTICALS INC ANIP · Entity 4638 | SaleCommon Stock | 12,269 | $63.03 | $773,315.07 |
DisclosureSEC source: 0001144204-18-014203 · tv488351_form4.xml · nonDerivative · entry 3 MARSHBANKS TRACY · CIK 0001579618 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 485,713 F3 · price: This transaction was executed in multiple trades at prices ranging from $63.00 to $63.19. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F4 · ownership.nature: Held by FA Private Equity Fund IV, L.P., FA Private Equity Fund IV GmbH & Co. Beteiligungs KG, The Productivity Fund IV Liquidating Trust, and The Productivity Fund IV Advisors Fund Liquidating Trust, which the Reporting Person may be deemed to be a beneficial owner pursuant to rule 16a-1(a)(1) Read SEC document |
| March 09, 2018 Filed Mar 12, 2018 23:26 UTC | ANI PHARMACEUTICALS INC ANIP · Entity 4638 | SaleCommon Stock | 36,561 | $63.01 | $2,303,708.61 |
DisclosureSEC source: 0001144204-18-014203 · tv488351_form4.xml · nonDerivative · entry 2 MARSHBANKS TRACY · CIK 0001579618 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 497,982 F2 · price: This transaction was executed in multiple trades at prices ranging from $63.00 to $63.29. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F4 · ownership.nature: Held by FA Private Equity Fund IV, L.P., FA Private Equity Fund IV GmbH & Co. Beteiligungs KG, The Productivity Fund IV Liquidating Trust, and The Productivity Fund IV Advisors Fund Liquidating Trust, which the Reporting Person may be deemed to be a beneficial owner pursuant to rule 16a-1(a)(1) Read SEC document |
| March 08, 2018 Filed Mar 12, 2018 23:26 UTC | ANI PHARMACEUTICALS INC ANIP · Entity 4638 | SaleCommon Stock | 15,391 | $63.08 | $970,864.28 |
DisclosureSEC source: 0001144204-18-014203 · tv488351_form4.xml · nonDerivative · entry 1 MARSHBANKS TRACY · CIK 0001579618 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 534,543 F1 · price: This transaction was executed in multiple trades at prices ranging from $63.00 to $63.50. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F4 · ownership.nature: Held by FA Private Equity Fund IV, L.P., FA Private Equity Fund IV GmbH & Co. Beteiligungs KG, The Productivity Fund IV Liquidating Trust, and The Productivity Fund IV Advisors Fund Liquidating Trust, which the Reporting Person may be deemed to be a beneficial owner pursuant to rule 16a-1(a)(1) Read SEC document |
| March 31, 2017 Filed Apr 4, 2017 22:09 UTC | ANI PHARMACEUTICALS INC ANIP · Entity 4638 | GrantStock Options · Derivative | 2,000 | $0.00 Strike: $49.51 | $0.00 |
DisclosureSEC source: 0001144204-17-018963 · v463552_form4.xml · derivative · entry 2 MARSHBANKS TRACY · CIK 0001579618 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,000 Underlying: Common Stock · 2,000 shares Expires 2027-03-30 F1 · security: The restricted stock and stock options vest on the first anniversary of the grant date. Read SEC document |
| March 31, 2017 Filed Apr 4, 2017 22:09 UTC | ANI PHARMACEUTICALS INC ANIP · Entity 4638 | GrantCommon Stock | 1,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001144204-17-018963 · v463552_form4.xml · nonDerivative · entry 1 MARSHBANKS TRACY · CIK 0001579618 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,110 F1 · security: The restricted stock and stock options vest on the first anniversary of the grant date. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.