ASSERTIO THERAPEUTICS, INC. Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 16 rows in 2013. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2013-12-10: Reporting owner Saks Samuel R; Form 4; Security Stock Option; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2013-12-10: Reporting owner Zenoff David B; Form 4; Security Stock Option; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2013-12-10: Reporting owner DAWES KAREN A; Form 4; Security Stock Option; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2013-12-10: Reporting owner BURRILL STEVEN; 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 |
|---|---|---|---|---|---|---|---|---|
| 2013-12-10 | Saks Samuel 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 | $8.45 exercise price | 2013-12-12 | |
| 2013-12-10 | 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 | $8.45 exercise price | 2013-12-12 | |
| 2013-12-10 | 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 | $8.45 exercise price | 2013-12-12 | |
| 2013-12-10 | 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 | $8.45 exercise price | 2013-12-12 | |
| 2013-12-10 | 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 | $8.45 exercise price | 2013-12-12 | |
| 2013-12-10 | ANIDO VICENTE JR Director | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,000 20,000 owned after | $8.45 exercise price | 2013-12-12 | |
| 2013-10-15 | STAPLE PETER D Director | 4 | Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −15,000 0 owned after | $6.50 exercise price | 2013-10-17 | |
| 2013-07-06 | LAVIGNE LOUIS J JR Director | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +40,000 40,000 owned after | $5.79 exercise price | 2013-07-09 | |
| 2013-05-17 | Moretti August J Officer (Chief Financial Officer) | 4 | Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,500 197,500 owned after | $5.35 exercise price | 2013-05-20 | |
| 2013-03-04 | 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 | −8,750 0 owned after | $1.83 exercise price | 2013-03-06 | |
| 2013-02-07 | 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) | +53,500 53,500 owned after | $6.77 exercise price | 2013-02-11 | |
| 2013-02-07 | 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) | +196,000 196,000 owned after | $6.77 exercise price | 2013-02-11 | |
| 2013-02-07 | Moretti August J Officer (Chief Financial Officer) | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +53,500 53,500 owned after | $6.77 exercise price | 2013-02-11 | |
| 2013-02-07 | 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) | +57,000 57,000 owned after | $6.77 exercise price | 2013-02-11 | |
| 2013-02-07 | Vargas Thadd M Officer (Senior VP, BD) | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +53,500 53,500 owned after | $6.77 exercise price | 2013-02-11 | |
| 2013-02-07 | ANIDO VICENTE JR Director | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +40,000 40,000 owned after | $6.77 exercise price | 2013-02-11 |