Sec Form 5 Filing - CARLO DENNIS J PHD @ Adamis Pharmaceuticals Corp - 2020-12-31

Insider filing report for Changes in Beneficial Ownership
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FORM 5
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
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, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
CARLO DENNIS J PHD
2. Issuer Name and Ticker or Trading Symbol
Adamis Pharmaceuticals Corp [ ADMP]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X __ Director _____ 10% Owner
X __ Officer (give title below) _____ Other (specify below)
President & CEO
(Last) (First) (Middle)
C/O ADAMIS PHARMACEUTICALS CORPORATION, 11682 EL CAMINO REAL, SUITE 300
3. Date of Earliest Transaction (MM/DD/YY)
12/31/2020
(Street)
SAN DIEGO, CA92130
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
__ X __ Form filed by One Reporting Person
_____ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 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 02/21/2020 M 27,823 D 316,405 ( 2 ) D
Common Stock 150,709 I By Dennis and Allison Carlo Joint Living Trust
Common Stock 5,883 I By A. Carlo as custodian for Child
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 (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 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
(MM/DD/YY)
7. Title and Amount of Underlying Securities
(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 of Derivative Security: 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
Restricted Stock Units ( 1 ) 02/21/2020 M 27,823 ( 3 ) ( 3 ) Common Stock 27,823 $ 0 27,822 D
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
CARLO DENNIS J PHD
C/O ADAMIS PHARMACEUTICALS CORPORATION
11682 EL CAMINO REAL, SUITE 300
SAN DIEGO, CA92130
X President & CEO
Signatures
/s/ Robert O. Hopkins Power of Attorney for Dennis J. Carlo, PhD 02/16/2021
Signature of Reporting Person Date
Explanation of Responses:
( 1 )Represents the vesting of a portion of previously granted restricted stock units (RSU), with shares of common stock to be issued following vesting of the RSUs as described in the award agreement relating to the RSUs.
( 2 )Includes common stock, as well as restricted stock units granted on January 30, 2019, to the reporting person and previously reported on a Form 4.
( 3 )On February 21, 2018, the reporting person was granted 83,467 restricted stock units. 1/3 of the Restricted Stock Units vest on each anniversary of the grant date over a three year period provided that the Reporting Person has continued to provide services to the Company during such period

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).

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