ASSERTIO THERAPEUTICS, INC. Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 19 rows in 2006. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2006-12-21: Reporting owner HAMILTON JOHN F; Form 4; Security Stock option; Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2006-12-06: Reporting owner SHELL JOHN W; Form 4; Security Stock Option; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2006-12-06: Reporting owner SMITH CRAIG R; Form 4; Security Stock Option; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2006-12-06: Reporting owner STERN JULIAN N; Form 4; Security Stock Option; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2006-12-21 | HAMILTON JOHN F Officer (VP & CFO) | 4 | Stock option Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −30,000 0 owned after | $3.00 | 2006-12-21 | |
| 2006-12-06 | SHELL JOHN W Director | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +15,000 15,000 owned after | $3.28 | 2006-12-07 | |
| 2006-12-06 | SMITH CRAIG R Director | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +15,000 15,000 owned after | $3.28 | 2006-12-07 | |
| 2006-12-06 | STERN JULIAN N Director | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +15,000 15,000 owned after | $3.28 | 2006-12-07 | |
| 2006-12-06 | BURRILL STEVEN Director | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +15,000 15,000 owned after | $3.28 | 2006-12-07 | |
| 2006-12-06 | STAPLE PETER D Director | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +15,000 15,000 owned after | $3.28 | 2006-12-07 | |
| 2006-10-02 | FARA JOHN W Director, Officer (President & CEO) | 4 | Stock option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −83,333 0 owned after | $0.90 | 2006-10-02 | |
| 2006-06-26 | Gosling Matthew M Officer (VP, Legal & General Counsel) | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +75,000 75,000 owned after | $6.17 | 2006-06-27 | |
| 2006-03-23 | SMITH CRAIG R Director | 4 | Stock option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,000 5,000 owned after | $6.20 | 2006-03-27 | |
| 2006-03-23 | PROEHL GERALD T Director | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,000 5,000 owned after | $6.20 | 2006-03-27 | |
| 2006-03-23 | BURRILL STEVEN Director | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,000 5,000 owned after | $6.20 | 2006-03-27 | |
| 2006-03-23 | SHELL JOHN W Director | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,000 5,000 owned after | $6.20 | 2006-03-27 | |
| 2006-03-23 | STERN JULIAN N Director | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,000 5,000 owned after | $6.20 | 2006-03-27 | |
| 2006-03-23 | STAPLE PETER D Director | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,000 5,000 owned after | $6.20 | 2006-03-27 | |
| 2006-02-10 | BERNER BRET Officer (VP & CSO) | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +84,000 84,000 owned after | $6.29 | 2006-02-14 | |
| 2006-02-10 | FARA JOHN W Director, Officer (President & CEO) | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +200,250 200,250 owned after | $6.29 | 2006-02-14 | |
| 2006-02-10 | HAMILTON JOHN F Officer (VP & CFO) | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +84,750 84,750 owned after | $6.29 | 2006-02-14 | |
| 2006-02-10 | SHELL JOHN N Officer (VP, Operations) | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +45,000 45,000 owned after | $6.29 | 2006-02-14 | |
| 2006-02-10 | Pelzel Carl A Officer (EVP, Chief Operating Officer) | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +23,250 23,250 owned after | $6.29 | 2006-02-14 |