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 2012. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2012-12-13: Reporting owner Sweeney Michael MD; Form 4; Security Stock Options; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2012-12-12: Reporting owner Gosling Matthew M; Form 4; Security Stock Options; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2012-12-05: Reporting owner STERN JULIAN N; Form 4; Security Stock Option; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2012-12-04: Reporting owner DAWES KAREN A; 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 |
|---|---|---|---|---|---|---|---|---|
| 2012-12-13 | Sweeney Michael MD Officer (CMO and VP, R&D) | 4 | Stock Options Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −40,000 45,000 owned after | $1.83 exercise price | 2012-12-14 | |
| 2012-12-12 | Gosling Matthew M Officer (Senior VP, General Counsel) | 4 | Stock Options Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −48,125 21,875 owned after | $3.09 exercise price | 2012-12-14 | |
| 2012-12-05 | 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 | $1.95 exercise price | 2012-12-06 | |
| 2012-12-04 | 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 | $5.82 exercise price | 2012-12-06 | |
| 2012-12-04 | 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 | $5.82 exercise price | 2012-12-06 | |
| 2012-12-04 | 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 | $5.82 exercise price | 2012-12-06 | |
| 2012-12-04 | 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 | $5.82 exercise price | 2012-12-06 | |
| 2012-12-04 | 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 | $5.82 exercise price | 2012-12-06 | |
| 2012-12-04 | 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 | $5.82 exercise price | 2012-12-06 | |
| 2012-10-08 | Saks Samuel R Director | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +40,000 40,000 owned after | $6.17 exercise price | 2012-10-09 | |
| 2012-08-09 | 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 | −13,125 8,750 owned after | $1.83 exercise price | 2012-08-13 | |
| 2012-08-07 | Schoeneck James A Director, Officer (President and CEO) | 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 | 2012-08-08 | |
| 2012-01-12 | Vargas Thadd M Officer (Senior VP, BD) | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +43,000 43,000 owned after | $6.11 exercise price | 2012-01-17 | |
| 2012-01-12 | 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) | +23,760 23,760 owned after | $6.11 exercise price | 2012-01-17 | |
| 2012-01-12 | 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 | $6.11 exercise price | 2012-01-17 | |
| 2012-01-12 | Schoeneck James A Director, Officer (President and CEO) | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +111,000 111,000 owned after | $6.11 exercise price | 2012-01-17 | |
| 2012-01-03 | Moretti August J Officer (Chief Financial Officer) | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +200,000 200,000 owned after | $5.35 exercise price | 2012-01-04 |