ANI Pharmaceuticals: Stephen P. Carey plans $613K sale

The securities were acquired through vesting of restricted stock awards from March 31, 2021 through April 10, 2021.

Available on EDGAR 10/29/2026 - 04:20 PM EDT Accepted by SEC EDGAR 10/29/2026 - 04:20 PM EDT Learn about SEC filing dates

Rhea-AI Filing Summary

ANI Pharmaceuticals, Inc. officer Stephen P. Carey filed a notice of a proposed sale of 8,550 common shares, with an aggregate market value of $613,120.50 and an approximate sale date of October 29, 2026. Morgan Stanley Smith Barney LLC is named as broker. Carey’s shares were acquired through vesting of restricted stock awards from March 31, 2021 through April 10, 2021. The past-three-months table lists 10b5-1 sales of 2,850 shares each on August 31 and September 29, 2026.

Key Figures

Proposed sale: 8,550 common shares Aggregate market value: $613,120.50 Shares outstanding: 22,959,488 shares +4 more

7 metrics

Proposed sale 8,550 common shares Approximate sale date October 29, 2026

Aggregate market value $613,120.50 Proposed sale

Shares outstanding 22,959,488 shares As listed in the securities information

Prior 10b5-1 sale 2,850 shares August 31, 2026

Gross proceeds $207,475.16 Sale dated August 31, 2026

Prior 10b5-1 sale 2,850 shares September 29, 2026

Gross proceeds $208,045.44 Sale dated September 29, 2026

Key Terms

Rule 144, 10b5-1 Sales, restricted stock awards

3 terms

Rule 144 regulatory

"definition of "person" in paragraph (a) of Rule 144"

Rule 144 is a U.S. securities regulation that sets conditions under which restricted or insider-held shares can be legally resold to the public, such as required holding periods, availability of public information, limits on how much can be sold at once, and certain filing requirements. For investors it matters because it determines when previously locked-up shares can enter the market — like a release valve that can increase supply, affect share price, and signal insider intent.

10b5-1 Sales regulatory

"10b5-1 Sales for STEPHEN CAREY"

10b5-1 sales are pre-arranged stock-trading plans that let company insiders automatically buy or sell shares according to a fixed schedule or formula, even if they later learn confidential information. Think of it as setting up an automatic thermostat for trades: it creates a clear, documented path that can protect insiders from insider-trading accusations and gives investors a signal about predictable insider activity—though it can also simply be a way for insiders to diversify or raise cash.

restricted stock awards financial

"acquired upon the vesting of restricted stock awards"

Restricted stock awards are company shares given to employees or executives that cannot be sold or transferred until certain conditions — like staying with the company for a set time or meeting performance targets — are met, like a gift that is locked in a safe until rules are satisfied. Investors care because these awards tie management’s pay to company performance, can increase the number of shares outstanding when they become tradable (dilution), and may signal expected future selling pressure or commitment to long-term growth.

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

How many ANIP shares does officer Stephen P. Carey plan to sell?

Stephen P. Carey’s notice lists a proposed sale of 8,550 common shares, with an approximate sale date of October 29, 2026 and an aggregate market value of $613,120.50. Morgan Stanley Smith Barney LLC is named as broker.

What were Stephen P. Carey’s recent ANIP share sales?

The past-three-months table lists 10b5-1 sales of 2,850 shares on August 31, 2026, for $207,475.16, and 2,850 shares on September 29, 2026, for $208,045.44.

How did Stephen P. Carey acquire the ANIP shares he plans to sell?

The securities were acquired upon the vesting of restricted stock awards during the period from March 31, 2021 through April 10, 2021.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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Form 144 Filer Information	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 144 NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933
FORM 144

144: Filer Information

Filer CIK	0001674236
Filer CCC	XXXXXXXX
Is this a LIVE or TEST Filing?	LIVE TEST
Submission Contact Information
Name
Phone
E-Mail Address

144: Issuer Information

Name of Issuer	ANI PHARMACEUTICALS, INC.
SEC File Number	001-31812
Address of Issuer	104 Carnegie Center Drive, Suite 300 Princeton NEW JERSEY 08540
Phone	(609)759-1810
Name of Person for Whose Account the Securities are To Be Sold	STEPHEN CAREY
See the definition of "person" in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice.
Relationship to Issuer	Officer

144: Securities Information

Title of the Class of Securities To Be Sold	Name and Address of the Broker	Number of Shares or Other Units To Be Sold	Aggregate Market Value	Number of Shares or Other Units Outstanding	Approximate Date of Sale	Name the Securities Exchange
Common	Morgan Stanley Smith Barney LLC Executive Financial Services 1 New York Plaza 8th Floor New York NY 10004	8550	613120.50	22959488	10/29/2026	NASDAQ

Furnish the following information with respect to the acquisition of the securities to be sold and with respect to the payment of all or any part of the purchase price or other consideration therefor:

144: Securities To Be Sold

Title of the Class	Date you Acquired	Nature of Acquisition Transaction	Name of Person from Whom Acquired	Is this a Gift?	Date Donor Acquired	Amount of Securities Acquired	Date of Payment	Nature of Payment *
Common	03/31/2021	Restricted Stock Awards	Issuer			8550	03/31/2021	N/A

* If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid.

Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.

144: Securities Sold During The Past 3 Months

Name and Address of Seller	Title of Securities Sold	Date of Sale	Amount of Securities Sold	Gross Proceeds
10b5-1 Sales for STEPHEN CAREY 104 Carnegie Center Drive, Suite 300 Princeton NJ 08540	Common	09/29/2026	2850	208045.44
10b5-1 Sales for STEPHEN CAREY 104 Carnegie Center Drive, Suite 300 Princeton NJ 08540	Common	08/31/2026	2850	207475.16

144: Remarks and Signature

Remarks	The securities to be sold were acquired upon the vesting of restricted stock awards during the period of 03/31/2021 through 04/10/2021.
Date of Notice	10/29/2026
Date of Plan Adoption or Giving of Instruction, If Relying on Rule 10b5-1	03/06/2026
ATTENTION:
The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed. If such person has adopted a written trading plan or given trading instructions to satisfy Rule 10b5-1 under the Exchange Act, by signing the form and indicating the date that the plan was adopted or the instruction given, that person makes such representation as of the plan adoption or instruction date.
Signature	/s/ Stephen P. Carey
ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)