ASSERTIO THERAPEUTICS, INC. Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 2 rows in 2018. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2018-12-04: Reporting owner Peisert Daniel A.; Form 3; Security Stock Option; Transaction Holding.
- 2018-12-03: Reporting owner DAWES KAREN A; Form 4; Security Stock Option; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2017-12-18: Reporting owner Gosling Matthew M; Form 4; Security Stock Options; Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2017-12-18: Reporting owner Gosling Matthew M; Form 4; Security Stock Options; Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2018-12-04 holding as of filing | Peisert Daniel A. Officer (SVP and CFO) | 3 | Stock Option Derivative · Direct | Holding | $5.70 exercise price | 2018-12-04 | ||
| 2018-12-03 | DAWES KAREN A Director | 4 | Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −15,000 0 owned after | $1.49 exercise price | 2018-12-04 |