ASSERTIO THERAPEUTICS, INC. Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 15 rows in 2008. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2008-12-09: Reporting owner SMITH CRAIG R; Form 4; Security Stock Option (Right to Buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2008-12-09: Reporting owner Zenoff David B; Form 4; Security Stock Option (Right to Buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2008-12-09: Reporting owner STERN JULIAN N; Form 4; Security Stock Option (Right to Buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2008-12-09: Reporting owner STAPLE PETER D; Form 4; Security Stock Option (Right to Buy); 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 |
|---|---|---|---|---|---|---|---|---|
| 2008-12-09 | SMITH CRAIG R Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +15,000 15,000 owned after | $1.49 exercise price | 2008-12-11 | |
| 2008-12-09 | Zenoff David B Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +15,000 15,000 owned after | $1.49 exercise price | 2008-12-10 | |
| 2008-12-09 | STERN JULIAN N Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +15,000 15,000 owned after | $1.49 exercise price | 2008-12-10 | |
| 2008-12-09 | STAPLE PETER D Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +15,000 15,000 owned after | $1.49 exercise price | 2008-12-10 | |
| 2008-12-09 | Schoeneck James A Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +15,000 15,000 owned after | $1.49 exercise price | 2008-12-10 | |
| 2008-12-09 | DAWES KAREN A Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +15,000 15,000 owned after | $1.49 exercise price | 2008-12-10 | |
| 2008-12-09 | BURRILL STEVEN Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +15,000 15,000 owned after | $1.49 exercise price | 2008-12-10 | |
| 2008-04-08 | DAWES KAREN 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 | $3.54 exercise price | 2008-04-08 | |
| 2008-01-28 holding as of filing | TANG KEVIN C | TANG CAPITAL PARTNERS LP | TANG CAPITAL MANAGEMENT LLC 10% Owner | 10% Owner | 10% Owner | 3 | Call Options (right to buy) Derivative · Indirect · By LP | Holding | $5.00 exercise price | 2008-01-28 | ||
| 2008-01-28 holding as of filing | TANG KEVIN C | TANG CAPITAL PARTNERS LP | TANG CAPITAL MANAGEMENT LLC 10% Owner | 10% Owner | 10% Owner | 3 | Call Options (obligation to sell) Derivative · Indirect · By LP | Holding | $5.00 exercise price | 2008-01-28 | ||
| 2008-01-25 | Pelzel Carl A Director, Officer (President and CEO) | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +62,500 62,500 owned after | $3.60 exercise price | 2008-01-29 | |
| 2008-01-25 | Pelzel Carl A Director, Officer (President and CEO) | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 25,000 owned after | $3.60 exercise price | 2008-01-29 | |
| 2008-01-25 | Gosling Matthew M Officer (VP, General Counsel) | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +35,000 35,000 owned after | $3.60 exercise price | 2008-01-29 | |
| 2008-01-25 | Cameron Tammy Officer (Controller) | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +13,000 13,000 owned after | $3.60 exercise price | 2008-01-29 | |
| 2008-01-25 | SHELL JOHN N Officer (VP, Operations) | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,000 10,000 owned after | $3.60 exercise price | 2008-01-29 |