ASSERTIO THERAPEUTICS, INC. Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 50 rows in 2011. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2011-12-20: Reporting owner STERN JULIAN N; Form 4; Security Stock Option; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2011-12-20: Reporting owner Zenoff David B; Form 4; Security Stock Option; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2011-12-20: Reporting owner STAPLE PETER D; Form 4; Security Stock Option; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2011-12-20: Reporting owner SMITH CRAIG R; 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 |
|---|---|---|---|---|---|---|---|---|
| 2011-12-20 | STERN JULIAN N Director | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,000 20,000 owned after | $4.87 exercise price | 2011-12-22 | |
| 2011-12-20 | Zenoff David B Director | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,000 20,000 owned after | $4.87 exercise price | 2011-12-22 | |
| 2011-12-20 | STAPLE PETER D Director | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,000 20,000 owned after | $4.87 exercise price | 2011-12-22 | |
| 2011-12-20 | SMITH CRAIG R Director | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,000 20,000 owned after | $4.87 exercise price | 2011-12-22 | |
| 2011-12-20 | DAWES KAREN A Director | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,000 20,000 owned after | $4.87 exercise price | 2011-12-22 | |
| 2011-12-20 | BURRILL STEVEN Director | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,000 20,000 owned after | $4.87 exercise price | 2011-12-22 | |
| 2011-11-09 | Vargas Thadd M Officer (Senior VP, BD) | 4 | Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,250 1,875 owned after | $3.60 exercise price | 2011-11-14 | |
| 2011-11-09 | Vargas Thadd M Officer (Senior VP, BD) | 4 | Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,458 39,375 owned after | $3.09 exercise price | 2011-11-14 | |
| 2011-11-09 | Vargas Thadd M Officer (Senior VP, BD) | 4 | Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,916 21,875 owned after | $1.83 exercise price | 2011-11-14 | |
| 2011-09-08 | Vargas Thadd M Officer (Senior VP, BD) | 4 | Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,875 3,125 owned after | $3.60 exercise price | 2011-09-12 | |
| 2011-09-08 | Vargas Thadd M Officer (Senior VP, BD) | 4 | Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,833 40,833 owned after | $3.09 exercise price | 2011-09-12 | |
| 2011-09-08 | Vargas Thadd M Officer (Senior VP, BD) | 4 | Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −4,375 24,791 owned after | $1.83 exercise price | 2011-09-12 | |
| 2011-09-02 holding as of filing | Vargas Thadd M Officer (Senior VP, BD) | 3 | Stock Option Derivative · Direct | Holding | $5.08 exercise price | 2011-09-02 | ||
| 2011-09-02 holding as of filing | Vargas Thadd M Officer (Senior VP, BD) | 3 | Stock Option Derivative · Direct | Holding | $5.03 exercise price | 2011-09-02 | ||
| 2011-09-02 holding as of filing | Vargas Thadd M Officer (Senior VP, BD) | 3 | Stock Option Derivative · Direct | Holding | $6.29 exercise price | 2011-09-02 | ||
| 2011-09-02 holding as of filing | Vargas Thadd M Officer (Senior VP, BD) | 3 | Stock Option Derivative · Direct | Holding | $3.60 exercise price | 2011-09-02 | ||
| 2011-09-02 holding as of filing | Vargas Thadd M Officer (Senior VP, BD) | 3 | Stock Option Derivative · Direct | Holding | $1.83 exercise price | 2011-09-02 | ||
| 2011-09-02 holding as of filing | Vargas Thadd M Officer (Senior VP, BD) | 3 | Stock Option Derivative · Direct | Holding | $3.09 exercise price | 2011-09-02 | ||
| 2011-09-02 holding as of filing | Vargas Thadd M Officer (Senior VP, BD) | 3 | Stock Option Derivative · Direct | Holding | $7.12 exercise price | 2011-09-02 | ||
| 2011-09-01 | Vargas Thadd M Officer (Senior VP, BD) | 4 | Stock option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +45,000 45,000 owned after | $6.08 exercise price | 2011-09-02 | |
| 2011-09-01 | Sweeney Michael MD Officer (CMO and VP, R&D) | 4 | Stock option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +45,000 45,000 owned after | $6.08 exercise price | 2011-09-02 | |
| 2011-09-01 | Gosling Matthew M Officer (Senior VP, General Counsel) | 4 | Stock option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +45,000 45,000 owned after | $6.08 exercise price | 2011-09-02 | |
| 2011-09-01 | Cameron Tammy Officer (VP, Finance) | 4 | Stock option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +37,500 37,500 owned after | $6.08 exercise price | 2011-09-02 | |
| 2011-08-02 | STERN JULIAN N Director | 4 | Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,000 0 owned after | $5.80 exercise price | 2011-08-04 | |
| 2011-06-14 | Cameron Tammy Officer (VP, Finance) | 4 | Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,354 27,083 owned after | $1.83 exercise price | 2011-06-15 | |
| 2011-06-14 | Cameron Tammy Officer (VP, Finance) | 4 | Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −4,487 16,122 owned after | $3.09 exercise price | 2011-06-15 | |
| 2011-06-14 | Cameron Tammy Officer (VP, Finance) | 4 | Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −17,493 31,898 owned after | $3.09 exercise price | 2011-06-15 | |
| 2011-05-26 | Gosling Matthew M Officer (Senior VP, General Counsel) | 4 | 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 | $8.55 exercise price | 2011-05-31 | |
| 2011-05-13 | BURRILL STEVEN Director | 4 | Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,000 0 owned after | $6.20 exercise price | 2011-05-13 | |
| 2011-05-13 | 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 | $3.28 exercise price | 2011-05-13 | |
| 2011-05-13 | 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 | $3.27 exercise price | 2011-05-13 | |
| 2011-05-13 | 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 | $1.49 exercise price | 2011-05-13 | |
| 2011-05-13 | 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 | $3.45 exercise price | 2011-05-13 | |
| 2011-05-13 | BURRILL STEVEN Director | 4 | Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,250 8,750 owned after | $5.60 exercise price | 2011-05-13 | |
| 2011-05-12 | Cameron Tammy Officer (VP, Finance) | 4 | Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −18,821 28,437 owned after | $1.83 exercise price | 2011-05-13 | |
| 2011-05-12 | BURRILL STEVEN Director | 4 | Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,000 0 owned after | $5.80 exercise price | 2011-05-13 | |
| 2011-05-12 | 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 | $1.95 exercise price | 2011-05-13 | |
| 2011-05-12 | 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 | $6.76 exercise price | 2011-05-13 | |
| 2011-05-12 | BURRILL STEVEN Director | 4 | Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,000 0 owned after | $5.04 exercise price | 2011-05-13 | |
| 2011-05-12 | BURRILL STEVEN Director | 4 | Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,000 0 owned after | $6.18 exercise price | 2011-05-13 | |
| 2011-05-12 | BURRILL STEVEN Director | 4 | Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,000 3,000 owned after | $6.20 exercise price | 2011-05-13 | |
| 2011-05-11 | Cameron Tammy Officer (VP, Finance) | 4 | Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −30,000 0 owned after | $1.98 exercise price | 2011-05-13 | |
| 2011-05-11 | Cameron Tammy Officer (VP, Finance) | 4 | Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −17,742 47,258 owned after | $1.83 exercise price | 2011-05-13 | |
| 2011-04-18 | Schoeneck James 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) | +500,000 500,000 owned after | $8.36 exercise price | 2011-04-19 | |
| 2011-04-04 | BURRILL STEVEN Director | 4 | Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,000 0 owned after | $3.40 exercise price | 2011-04-06 | |
| 2011-03-03 | STERN JULIAN N Director | 4 | Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −20,000 0 owned after | $3.40 exercise price | 2011-03-04 | |
| 2011-01-14 | Sweeney Michael MD Officer (VP, Research & Development) | 4 | Stock option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +47,500 47,500 owned after | $7.12 exercise price | 2011-01-14 | |
| 2011-01-14 | 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) | +100,000 100,000 owned after | $7.12 exercise price | 2011-01-14 | |
| 2011-01-14 | Gosling Matthew M Officer (VP, General Counsel) | 4 | Stock option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +37,500 37,500 owned after | $7.12 exercise price | 2011-01-14 | |
| 2011-01-14 | Cameron Tammy Officer (VP, Finance) | 4 | Stock option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +32,500 32,500 owned after | $7.12 exercise price | 2011-01-14 |