SC 13G/A: ANI PHARMACEUTICALS INC

AI Summary

SC 13G/A filing by ANI PHARMACEUTICALS INC.

Risk Assessment

Risk Level: low

FAQ

Key Financial Figures

• $0.0001 — OF CLASS OF SECURITIES: Common Stock, $0.0001 par value (the “ Common Stock &rd

Filing Documents

• tm2427812d2_sc13ga.htm (SC 13G/A) — 66KB
• 0001104659-24-117738.txt ( ) — 68KB

(a)

Item 1(a). NAME OF ISSUER: The name of the issuer is ANI Pharmaceuticals, Inc. (the “ Issuer ”).

(b)

Item 1(b). ADDRESS OF ISSUER’S PRINCIPAL EXECUTIVE OFFICES: The Issuer’s principal executive offices are located at 210 Main Street West, Baudette, MN, 56623.

(a)

Item 2(a). NAME OF PERSON FILING: This statement is filed by: (i) Rubric Capital Management LP (“ Rubric Capital ”), the investment adviser to certain investment funds and/or accounts (collectively, the “ Rubric Funds ”) that hold the shares of Common Stock (as defined in Item 2(d) below) reported herein; and (ii) David Rosen (“ Mr. Rosen ”), Managing Member of Rubric Capital Management GP LLC, the general partner of Rubric Capital. The foregoing persons are hereinafter sometimes collectively referred to as the “ Reporting Persons .” The filing of this Section 13 of the Act, the beneficial owner of the Shares reported herein.

(b)

Item 2(b). ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE, RESIDENCE: The address of the principal business office of each of the Reporting Persons is 155 East 44th St, Suite 1630, New York, NY 10017.

(c)

Item 2(c). CITIZENSHIP: Rubric Capital is a Delaware limited partnership. Mr. Rosen is a citizen of the United States of America.

(d)

Item 2(d). TITLE OF CLASS OF SECURITIES: Common Stock, $0.0001 par value (the “ Common Stock ”).

(e)

Item 2(e). CUSIP NUMBER: 00182C103 CUSIP No. 00182C103 13G/A Page 5 of 7 Pages Item 3. IF THIS (a) Broker or dealer registered under Section 15 of the Act, (b) ¨ Bank as defined in Section 3(a)(6) of the Act, (c) ¨ Insurance Company as defined in Section 3(a)(19) of the Act, (d) ¨ Investment Company registered under Section 8 of the Investment Company Act of 1940, (e) An investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E); (f) ¨ Employee Benefit Plan or Endowment Fund in accordance with Rule 13d-1(b)(1)(ii)(F), (g) Parent Holding Company or control person in accordance with Rule 13d-1(b)(1)(ii)(G), (h) ¨ Savings Association as defined in Section 3(b) of the Federal Deposit Insurance Act, (i) ¨ A church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act; (j) ¨ A non-U.S. institution in accordance with Rule 13d-1(b)(1)(ii)(J); (k) ¨ Group, in accordance with Rule 13d-1(b)(1)(ii)(K). If filing as a non-U.S. institution in accordance with Rule 13d-1(b)(1)(ii)(J), please specify the type of institution: _______________________________________________ Item 4. The information required by Items 4(a) - (c) is set forth in Rows 5 - 11 of the cover page for each of the Reporting Persons and is incorporated herein by reference. The percentage set forth in Row (11) of the cover page for each of the Reporting Persons is based on the 21,030,069 shares of Common Stock outstanding as of July 30, 2024, as reported in the Issuer’s Quarterly on Form 10-Q for the quarterly period ended June 30, 2024 filed with the Securities and Exchange Commission on August 6, 2024. Item 5. LESS OF A CLASS. If this statement is being filed to report the fact that as of the date h

SIGNATURES

SIGNATURES After reasonable inquiry and to the best of our knowledge and belief, each of the undersigned certifies that the information set forth in this statement is true, complete and correct. DATED: November 13, 2024 RUBRIC CAPITAL MANAGEMENT LP By: /s/ Michael Nachmani Name: Michael Nachmani Title: Chief Operating Officer /s/ David Rosen DAVID ROSEN

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