ASSERTIO THERAPEUTICS, INC. Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 26 rows in 2015. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2015-12-28: Reporting owner Schoeneck James A; Form 4; Security Stock Option; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2015-12-16: Reporting owner Moretti August J; Form 4; Security Stock Option; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2015-09-30: Reporting owner STAPLE PETER D; Form 4; Security Stock Option; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2015-09-30: Reporting owner STAPLE PETER D; Form 4; Security Stock Option; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2015-12-28 | 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 | −6,365 6,522 owned after | $6.11 exercise price | 2015-12-28 | |
| 2015-12-16 | Moretti August J Officer (Chief Financial Officer & SVP) | 4 | Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,000 192,500 owned after | $5.35 exercise price | 2015-12-17 | |
| 2015-09-30 | STAPLE PETER D Director | 4 | Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,000 0 owned after | $6.20 exercise price | 2015-09-30 | |
| 2015-09-30 | 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 | $3.28 exercise price | 2015-09-30 | |
| 2015-09-29 | 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 | −33,561 12,887 owned after | $6.11 exercise price | 2015-09-29 | |
| 2015-09-29 | 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 | −30,000 166,000 owned after | $6.77 exercise price | 2015-09-29 | |
| 2015-05-12 | LAVIGNE LOUIS J JR Director | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +7,857 7,857 owned after | $20.43 exercise price | 2015-05-13 | |
| 2015-05-12 | Saks Samuel R Director | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +7,857 7,857 owned after | $20.43 exercise price | 2015-05-13 | |
| 2015-05-12 | Zenoff David B Director | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +7,857 7,857 owned after | $20.43 exercise price | 2015-05-13 | |
| 2015-05-12 | DAWES KAREN A Director | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +7,857 7,857 owned after | $20.43 exercise price | 2015-05-13 | |
| 2015-05-12 | ANIDO VICENTE JR Director | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +7,857 7,857 owned after | $20.43 exercise price | 2015-05-13 | |
| 2015-05-12 | STAPLE PETER D Director | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +7,857 7,857 owned after | $20.43 exercise price | 2015-05-13 | |
| 2015-05-12 | 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 | $6.18 exercise price | 2015-05-12 | |
| 2015-05-12 | 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 37,771 owned after | $6.11 exercise price | 2015-05-12 | |
| 2015-05-12 | 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 | −11,127 0 owned after | $8.36 exercise price | 2015-05-12 | |
| 2015-05-12 | 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 | −4,552 8,677 owned after | $6.11 exercise price | 2015-05-12 | |
| 2015-04-08 | 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 | −52,500 0 owned after | $6.29 exercise price | 2015-04-09 | |
| 2015-04-08 | 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 0 owned after | $3.60 exercise price | 2015-04-09 | |
| 2015-04-08 | 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 | −335 0 owned after | $3.09 exercise price | 2015-04-09 | |
| 2015-02-04 | 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) | +345,000 345,000 owned after | $17.61 exercise price | 2015-02-06 | |
| 2015-02-04 | Moretti August J Officer (Chief Financial Officer & SVP) | 4 | Stock Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +55,000 55,000 owned after | $17.61 exercise price | 2015-02-06 | |
| 2015-02-04 | Gosling Matthew M Officer (SVP, 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 | $17.61 exercise price | 2015-02-06 | |
| 2015-02-04 | Vargas Thadd M Officer (SVP, Business Development) | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 50,000 owned after | $17.61 exercise price | 2015-02-06 | |
| 2015-02-04 | Srinivas G. Rao Officer (SVP and Chief Medical Officer) | 4 | Stock Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +32,500 32,500 owned after | $17.61 exercise price | 2015-02-06 | |
| 2015-02-04 | Shively Richard Scott Officer (SVP & Chief Commercial Officer) | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +32,500 32,500 owned after | $17.61 exercise price | 2015-02-06 | |
| 2015-01-20 | 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 | −19,000 0 owned after | $5.03 exercise price | 2015-01-22 |