ASSERTIO THERAPEUTICS, INC. Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 19 rows in 2016. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2016-10-17: Reporting owner Savage Robert G.; Form 4; Security Stock Option; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2016-10-17: Reporting owner FOGARTY JAMES P; Form 4; Security Stock Option; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2016-10-17: Reporting owner Tyree James L; Form 4; Security Stock Option; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2016-05-18: Reporting owner STAPLE PETER D; Form 4; Security Stock Options; 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 |
|---|---|---|---|---|---|---|---|---|
| 2016-10-17 | Savage Robert G. Director | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +18,485 18,485 owned after | $23.83 exercise price | 2016-10-19 | |
| 2016-10-17 | FOGARTY JAMES P Director | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +18,485 18,485 owned after | $23.83 exercise price | 2016-10-19 | |
| 2016-10-17 | Tyree James L Director | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +18,485 18,485 owned after | $23.83 exercise price | 2016-10-19 | |
| 2016-05-18 | STAPLE PETER D Director | 4 | Stock Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +7,669 7,669 owned after | $19.16 exercise price | 2016-05-20 | |
| 2016-05-18 | DAWES KAREN A Director | 4 | Stock Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +7,669 7,669 owned after | $19.16 exercise price | 2016-05-20 | |
| 2016-05-18 | Zenoff David B Director | 4 | Stock Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +7,669 7,669 owned after | $19.16 exercise price | 2016-05-20 | |
| 2016-05-18 | Saks Samuel R Director | 4 | Stock Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +7,669 7,669 owned after | $19.16 exercise price | 2016-05-20 | |
| 2016-05-18 | LAVIGNE LOUIS J JR Director | 4 | Stock Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +7,669 7,669 owned after | $19.16 exercise price | 2016-05-20 | |
| 2016-03-18 | Schoeneck James A Director, Officer (President and CEO) | 4 | Stock Options Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +25,000 0 owned after | $3.38 exercise price | 2016-03-21 | |
| 2016-03-18 | Schoeneck James A Director, Officer (President and CEO) | 4 | Stock Options Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +2,312 0 owned after | $6.11 exercise price | 2016-03-21 | |
| 2016-03-18 | Schoeneck James A Director, Officer (President and CEO) | 4 | Stock Options Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +3,171 17,680 owned after | $6.77 exercise price | 2016-03-21 | |
| 2016-03-08 | Srinivas G. Rao Officer (SVP and Chief Medical Officer) | 4 | Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,535 147,465 owned after | $11.83 exercise price | 2016-03-09 | |
| 2016-02-11 | Gosling Matthew M Officer (SVP, General Counsel) | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 100,000 owned after | $16.07 exercise price | 2016-02-16 | |
| 2016-02-11 | 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) | +105,000 105,000 owned after | $16.07 exercise price | 2016-02-16 | |
| 2016-02-11 | 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) | +82,000 82,000 owned after | $16.07 exercise price | 2016-02-16 | |
| 2016-02-11 | Vargas Thadd M Officer (SVP, Business Development) | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +60,000 60,000 owned after | $16.07 exercise price | 2016-02-16 | |
| 2016-02-11 | 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) | +92,500 92,500 owned after | $16.07 exercise price | 2016-02-16 | |
| 2016-02-11 | 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) | +361,000 361,000 owned after | $16.07 exercise price | 2016-02-16 | |
| 2016-01-11 | Vargas Thadd M Officer (SVP, Business Development) | 4 | Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −18,180 0 owned after | $7.12 exercise price | 2016-01-12 |