ASSERTIO THERAPEUTICS, INC. Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 22 rows in 2014. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2014-12-19: Reporting owner Schoeneck James A; Form 4; Security Stock Option; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2014-12-01: Reporting owner STAPLE PETER D; Form 4; Security Stock Option; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2014-12-01: Reporting owner Zenoff David B; Form 4; Security Stock Option; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2014-12-01: Reporting owner Saks Samuel 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 |
|---|---|---|---|---|---|---|---|---|
| 2014-12-19 | 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 | −40,700 459,300 owned after | $8.36 exercise price | 2014-12-22 | |
| 2014-12-01 | STAPLE PETER D Director | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +9,852 9,852 owned after | $15.53 exercise price | 2014-12-12 | |
| 2014-12-01 | Zenoff David B Director | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +9,852 9,852 owned after | $15.53 exercise price | 2014-12-12 | |
| 2014-12-01 | Saks Samuel R Director | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +9,852 9,852 owned after | $15.53 exercise price | 2014-12-12 | |
| 2014-12-01 | DAWES KAREN A Director | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +9,852 9,852 owned after | $15.53 exercise price | 2014-12-12 | |
| 2014-12-01 | LAVIGNE LOUIS J JR Director | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +9,852 9,852 owned after | $15.53 exercise price | 2014-12-12 | |
| 2014-12-01 | ANIDO VICENTE JR Director | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +9,852 9,852 owned after | $15.53 exercise price | 2014-12-12 | |
| 2014-11-25 | STAPLE PETER D 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 | 2014-11-26 | |
| 2014-11-19 | 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 | +71,000 0 owned after | $6.17 exercise price | 2014-11-21 | |
| 2014-09-02 | Shively Richard Scott Officer (Chief Commercial Officer) | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +150,000 150,000 owned after | $15.31 exercise price | 2014-09-04 | |
| 2014-08-01 | 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 | −30,000 81,000 owned after | $6.11 exercise price | 2014-08-04 | |
| 2014-07-16 | Srinivas Rao Officer (Chief Medical Officer) | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +150,000 150,000 owned after | $11.83 exercise price | 2014-07-18 | |
| 2014-05-16 | 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 | −39,040 0 owned after | $3.09 exercise price | 2014-05-19 | |
| 2014-05-09 | 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 | $3.45 exercise price | 2014-05-09 | |
| 2014-05-09 | 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 | $5.60 exercise price | 2014-05-09 | |
| 2014-05-09 | Gosling Matthew M Officer (Senior VP, General Counsel) | 4 | Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +4,000 0 owned after | $6.17 exercise price | 2014-05-09 | |
| 2014-03-14 | Vargas Thadd M Officer (Senior VP, BD) | 4 | Stock Options Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,000 0 owned after | $5.08 exercise price | 2014-03-14 | |
| 2014-03-14 | 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 | +21,875 0 owned after | $3.09 exercise price | 2014-03-14 | |
| 2014-02-18 | 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) | +85,000 85,000 owned after | $12.69 exercise price | 2014-02-20 | |
| 2014-02-18 | Moretti August J Officer (Chief Financial Officer) | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +65,000 65,000 owned after | $12.69 exercise price | 2014-02-20 | |
| 2014-02-18 | 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) | +295,000 295,000 owned after | $12.69 exercise price | 2014-02-20 | |
| 2014-02-18 | Vargas Thadd M Officer (Senior VP, BD) | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +80,000 80,000 owned after | $12.69 exercise price | 2014-02-20 |