ASSERTIO THERAPEUTICS, INC. Forms 3, 4 and 5: Other
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 13 rows, 13 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2017-12-01: Reporting owner STAPLE PETER D; Form 4; Security Common Stock; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2017-06-13: Reporting owner Vargas Thadd M; Form 4; Security Common Stock; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2017-06-13: Reporting owner Vargas Thadd M; Form 4; Security Common Stock; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2017-06-13: Reporting owner Vargas Thadd M; Form 4; Security Common Stock; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2017-12-01 | STAPLE PETER D Director | 4 | Common Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +15,000 0 owned after | $1.49 exercise price | 2017-12-05 | |
| 2017-06-13 | Vargas Thadd M Officer (SVP, Business Development) | 4 | Common Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −19,320 0 owned after | $7.12 exercise price | 2017-06-15 | |
| 2017-06-13 | Vargas Thadd M Officer (SVP, Business Development) | 4 | Common Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −45,000 0 owned after | $6.08 exercise price | 2017-06-15 | |
| 2017-06-13 | Vargas Thadd M Officer (SVP, Business Development) | 4 | Common Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −43,000 0 owned after | $6.11 exercise price | 2017-06-15 | |
| 2017-06-13 | Vargas Thadd M Officer (SVP, Business Development) | 4 | Common Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −53,500 0 owned after | $6.77 exercise price | 2017-06-15 | |
| 2017-03-31 | STAPLE PETER D Director | 4 | Common Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +15,000 0 owned after | $3.27 exercise price | 2017-04-04 | |
| 2017-02-21 | Zenoff David B Director | 4 | Common Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +25,000 0 owned after | $3.59 exercise price | 2017-02-23 | |
| 2017-02-21 | Zenoff David B Director | 4 | Common Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +15,000 0 owned after | $3.27 exercise price | 2017-02-23 | |
| 2017-02-21 | Zenoff David B Director | 4 | Common Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +15,000 0 owned after | $1.49 exercise price | 2017-02-23 | |
| 2017-02-21 | Zenoff David B Director | 4 | Common Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +15,000 0 owned after | $3.45 exercise price | 2017-02-23 | |
| 2016-11-14 | Moretti August J Officer (Chief Financial Officer & SVP) | 4 | Common Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,000 48,741 owned after | $12.69 exercise price | 2016-11-15 | |
| 2016-08-10 | Moretti August J Officer (Chief Financial Officer & SVP) | 4 | Common Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,297 53,741 owned after | $12.69 exercise price | 2016-08-11 | |
| 2009-10-21 | STERN JULIAN N Director | 4 | Common Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −15,000 0 owned after | $3.28 exercise price | 2009-10-22 |