ASSERTIO THERAPEUTICS, INC. Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 37 rows in 2007. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2007-12-10: Reporting owner Schoeneck James A; Form 4; Security Stock Option; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2007-12-06: Reporting owner SMITH CRAIG R; Form 4; Security Stock Option; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2007-12-06: Reporting owner Sweeney Michael MD; Form 4; Security Stock Option; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2007-12-06: Reporting owner Zenoff David B; 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 |
|---|---|---|---|---|---|---|---|---|
| 2007-12-10 | Schoeneck James A Director | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 25,000 owned after | $3.38 exercise price | 2007-12-12 | |
| 2007-12-06 | 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 | $3.27 exercise price | 2007-12-10 | |
| 2007-12-06 | Sweeney Michael MD Officer (VP, Product Development) | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +95,000 95,000 owned after | $3.27 exercise price | 2007-12-07 | |
| 2007-12-06 | Zenoff David B Director | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +15,000 15,000 owned after | $3.27 exercise price | 2007-12-07 | |
| 2007-12-06 | 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 | $3.27 exercise price | 2007-12-07 | |
| 2007-12-06 | FARA 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 | $3.27 exercise price | 2007-12-07 | |
| 2007-12-06 | 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 | $3.27 exercise price | 2007-12-07 | |
| 2007-12-06 | 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 | $3.27 exercise price | 2007-12-07 | |
| 2007-10-19 holding as of filing | Cameron Tammy Officer (Controller) | 3 | Stock Option Derivative · Direct | Holding | $4.93 exercise price | 2007-10-19 | ||
| 2007-10-19 holding as of filing | Cameron Tammy Officer (Controller) | 3 | Stock Option Derivative · Direct | Holding | $1.98 exercise price | 2007-10-19 | ||
| 2007-10-10 | 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) | −35,000 0 owned after | $3.75 exercise price | 2007-10-12 | |
| 2007-10-10 | 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) | −25,000 0 owned after | $7.63 exercise price | 2007-10-12 | |
| 2007-10-10 | 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) | −42,500 0 owned after | $2.88 exercise price | 2007-10-12 | |
| 2007-10-10 | 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) | −60,000 0 owned after | $3.75 exercise price | 2007-10-12 | |
| 2007-10-10 | 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) | −40,000 0 owned after | $4.30 exercise price | 2007-10-12 | |
| 2007-10-10 | 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) | −25,000 0 owned after | $5.80 exercise price | 2007-10-12 | |
| 2007-10-10 | 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) | −40,000 0 owned after | $1.71 exercise price | 2007-10-12 | |
| 2007-10-10 | 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) | −25,000 0 owned after | $5.08 exercise price | 2007-10-12 | |
| 2007-10-10 | 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) | −84,750 0 owned after | $6.29 exercise price | 2007-10-12 | |
| 2007-10-10 | 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) | −43,750 0 owned after | $4.37 exercise price | 2007-10-12 | |
| 2007-10-10 | 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) | −50,000 0 owned after | $1.98 exercise price | 2007-10-12 | |
| 2007-08-24 | SHELL JOHN N Officer (VP, Operations) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +44,000 44,000 owned after | $1.98 exercise price | 2007-08-27 | |
| 2007-08-24 | HAMILTON JOHN F Officer (VP & CFO) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 50,000 owned after | $1.98 exercise price | 2007-08-27 | |
| 2007-08-24 | Gosling Matthew M Officer (VP, General Counsel) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +53,000 53,000 owned after | $1.98 exercise price | 2007-08-27 | |
| 2007-08-24 | Pelzel Carl A Director, Officer (President and CEO) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +400,000 400,000 owned after | $1.98 exercise price | 2007-08-27 | |
| 2007-08-24 | Pelzel Carl A Director, Officer (President and CEO) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +37,500 37,500 owned after | $1.98 exercise price | 2007-08-27 | |
| 2007-06-12 | HAMILTON JOHN F Officer (VP & CFO) | 4 | ISO Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −25,000 0 owned after | $5.25 exercise price | 2007-06-12 | |
| 2007-05-31 | HAMILTON JOHN F Officer (VP & CFO) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +43,750 43,750 owned after | $4.37 exercise price | 2007-06-01 | |
| 2007-05-31 | Pelzel Carl A Officer (EVP, Chief Operating Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +12,500 12,500 owned after | $4.37 exercise price | 2007-06-01 | |
| 2007-05-31 | SHELL JOHN N Officer (VP, Operations) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +31,250 31,250 owned after | $4.37 exercise price | 2007-06-01 | |
| 2007-05-31 | Gosling Matthew M Officer (VP, General Counsel) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,250 6,250 owned after | $4.37 exercise price | 2007-06-01 | |
| 2007-05-31 | FARA JOHN W Director, Officer (President & CEO) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +93,750 93,750 owned after | $4.37 exercise price | 2007-06-01 | |
| 2007-04-10 | FARA JOHN W Director, Officer (President & CEO) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −66,667 0 owned after | $3.00 exercise price | 2007-04-10 | |
| 2007-03-21 | Zenoff David B Director | 4 | NQ Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 25,000 owned after | $3.59 exercise price | 2007-03-23 | |
| 2007-03-02 | Pelzel Carl A Officer (EVP, Chief Operating Officer) | 4 | ISO Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 50,000 owned after | $3.31 | 2007-03-06 | |
| 2007-03-02 | Gosling Matthew M Officer (VP, Legal & General Counsel) | 4 | ISO Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 25,000 owned after | $3.31 | 2007-03-06 | |
| 2007-01-16 | SHELL JOHN N Officer (VP, Operations) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −8,333 0 owned after | $3.00 exercise price | 2007-01-18 |