ASSERTIO THERAPEUTICS, INC. Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 17 rows in 2009. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2009-12-07: Reporting owner DAWES KAREN A; Form 4; Security Stock Option (Right to Buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2009-12-07: Reporting owner Schoeneck James A; Form 4; Security Stock Option (Right to Buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2009-12-07: 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).
- 2009-12-07: 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 |
|---|---|---|---|---|---|---|---|---|
| 2009-12-07 | 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 | $3.45 exercise price | 2009-12-08 | |
| 2009-12-07 | 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 | $3.45 exercise price | 2009-12-08 | |
| 2009-12-07 | 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 | $3.45 exercise price | 2009-12-08 | |
| 2009-12-07 | 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 | $3.45 exercise price | 2009-12-08 | |
| 2009-12-07 | 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 | $3.45 exercise price | 2009-12-08 | |
| 2009-12-07 | 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 | $3.45 exercise price | 2009-12-08 | |
| 2009-12-07 | 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 | $3.45 exercise price | 2009-12-08 | |
| 2009-10-21 | STERN JULIAN N Director | 4 | Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −15,000 0 owned after | $3.27 exercise price | 2009-10-22 | |
| 2009-08-11 | Gosling Matthew M Officer (VP, General Counsel) | 4 | Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,500 50,500 owned after | $1.98 exercise price | 2009-08-13 | |
| 2009-08-11 | Gosling Matthew M Officer (VP, General Counsel) | 4 | Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,000 45,500 owned after | $1.98 exercise price | 2009-08-13 | |
| 2009-08-11 | Gosling Matthew M Officer (VP, General Counsel) | 4 | Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,000 40,500 owned after | $1.98 exercise price | 2009-08-13 | |
| 2009-08-11 | Gosling Matthew M Officer (VP, General Counsel) | 4 | Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,500 38,000 owned after | $1.98 exercise price | 2009-08-13 | |
| 2009-07-10 | BURRILL STEVEN Director | 4 | Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −15,000 0 owned after | $2.88 exercise price | 2009-07-14 | |
| 2009-01-23 | Cameron Tammy Officer (VP, Finance) | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +65,000 65,000 owned after | $1.83 exercise price | 2009-01-27 | |
| 2009-01-23 | Gosling Matthew M Officer (VP, General Counsel) | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +70,000 70,000 owned after | $1.83 exercise price | 2009-01-27 | |
| 2009-01-23 | Sweeney Michael MD Officer (VP, Product Development) | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +85,000 85,000 owned after | $1.83 exercise price | 2009-01-27 | |
| 2009-01-23 | 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) | +200,000 200,000 owned after | $1.83 exercise price | 2009-01-27 |