ANI Pharma CFO has 5,150 shares withheld for tax

ANI Pharmaceuticals SVP & CFO Stephen P. Carey reported a tax-related share disposition.

Accepted by SEC EDGAR 03/10/2026 - 04:04 PM EDT Learn about SEC filing dates

Rhea-AI Filing Summary

ANI Pharmaceuticals SVP & CFO Stephen P. Carey reported a tax-related share disposition. On the vesting of 11,292 shares of restricted stock that had been granted earlier, 5,150 shares of common stock were withheld at $74.04 per share to cover tax obligations, a non-market transaction exempt under Rule 16(b)-3. After this withholding, Carey directly holds 180,393 shares of ANI Pharmaceuticals common stock.

Insider Trade Summary

Exercise Price or Tax Liability: 5,150 shares

Exercise Price or Tax Liability 1 txn

Insider CAREY STEPHEN P.

Role SVP & CFO

Type	Security	Shares	Price	Value
Exercise Price or Tax Liability	Common Stock	5,150	$74.04	$381K

Holdings After Transaction: Common Stock — 180,393 shares (Direct)

Holdings Before and After: Common Stock, 185,543 to 180,393 shares (Direct)

Footnotes (1)

1. F1. Shares withheld for tax purposes exempt under Rule 16(b)-3 in connection with the vesting of 11,292 shares of restricted stock, the grant of which was previously reported.

FAQ

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

What insider transaction did ANI Pharmaceuticals (ANIP) report for SVP & CFO Stephen P. Carey?

ANI Pharmaceuticals reported that SVP & CFO Stephen P. Carey had 5,150 shares of common stock withheld to cover taxes. This was tied to the vesting of 11,292 restricted shares previously granted as compensation, rather than an open-market sale.

Was the ANI Pharmaceuticals (ANIP) CFO’s Form 4 transaction an open-market sale?

No, the transaction was not an open-market sale. Shares were withheld for tax purposes in connection with the vesting of 11,292 restricted shares, classified as a tax-withholding disposition exempt under Rule 16(b)-3, rather than a discretionary sale into the market.

How many ANI Pharmaceuticals (ANIP) shares were withheld for taxes from the CFO’s award?

A total of 5,150 ANI Pharmaceuticals common shares were withheld to satisfy tax liabilities. This withholding occurred when 11,292 restricted stock shares vested, and is reported on the Form 4 as a tax-withholding disposition at a reported price of $74.04 per share.

How many ANI Pharmaceuticals (ANIP) shares does the CFO hold after this Form 4 event?

Following the tax-withholding transaction, SVP & CFO Stephen P. Carey directly holds 180,393 shares of ANI Pharmaceuticals common stock. This figure reflects his direct ownership after 5,150 shares were withheld upon vesting of 11,292 previously granted restricted shares.

What triggered the tax-withholding share disposition for ANI Pharmaceuticals (ANIP) CFO?

The disposition was triggered by the vesting of 11,292 shares of restricted stock that had been granted earlier. When these restricted shares vested, 5,150 shares were automatically withheld to cover associated tax obligations, as disclosed and exempt under Rule 16(b)-3.

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

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SEC Form 4

FORM 4

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

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

OMB Number:			3235-0287
Estimated average burden
hours per response:			0.5

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^*

CAREY STEPHEN P.

(Last) (First) (Middle)

C/O ANI PHARMACEUTICALS, INC.

210 MAIN STREET WEST

(Street)

BAUDETTE MN 56623

(City) (State) (Zip)

2. Issuer Name and Ticker or Trading Symbol
ANI PHARMACEUTICALS INC [ ANIP ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	SVP & CFO

3. Date of Earliest Transaction (Month/Day/Year)
03/07/2026

4. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
			Code	V	Amount	(A) or (D)	Price
Common Stock	03/07/2026		F(1)		5,150	D	$74.04	180,393	D

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)		5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)		8. Price of Derivative Security (Instr. 5)	9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares

Explanation of Responses:

1. Shares withheld for tax purposes exempt under Rule 16(b)-3 in connection with the vesting of 11,292 shares of restricted stock, the grant of which was previously reported.

Remarks:

	/s/ Stephen P. Carey, by attorney-in-fact Meredith W. Cook	03/10/2026
	** Signature of Reporting Person	Date
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.