ASSERTIO THERAPEUTICS, INC. Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 15 rows in 2017. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2017-12-18: Reporting owner Gosling Matthew M; Form 4; Security Stock Options; Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2017-12-18: Reporting owner Gosling Matthew M; Form 4; Security Stock Options; Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2017-12-18: Reporting owner Gosling Matthew M; Form 4; Security Stock Options; Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2017-12-18: Reporting owner Moretti August J; Form 4; Security Stock Options; Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2017-12-18 | Gosling Matthew M Officer (SVP, General Counsel) | 4 | Stock Options Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | +85,000 0 owned after | $17.61 exercise price | 2017-12-20 | |
| 2017-12-18 | Gosling Matthew M Officer (SVP, General Counsel) | 4 | Stock Options Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | +100,000 0 owned after | $16.07 exercise price | 2017-12-20 | |
| 2017-12-18 | Gosling Matthew M Officer (SVP, General Counsel) | 4 | Stock Options Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | +87,000 0 owned after | $17.09 exercise price | 2017-12-20 | |
| 2017-12-18 | Moretti August J Officer (Chief Financial Officer & SVP) | 4 | Stock Options Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | +55,000 0 owned after | $17.61 exercise price | 2017-12-20 | |
| 2017-12-18 | Moretti August J Officer (Chief Financial Officer & SVP) | 4 | Stock Options Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | +92,500 0 owned after | $16.07 exercise price | 2017-12-20 | |
| 2017-12-18 | Moretti August J Officer (Chief Financial Officer & SVP) | 4 | Stock Options Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | +54,200 0 owned after | $17.09 exercise price | 2017-12-20 | |
| 2017-10-16 | Vetticaden Santosh Officer (SVP, Chief Medical Officer ***) | 4 | Stock Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +109,343 109,343 owned after | $5.06 exercise price | 2017-10-18 | |
| 2017-03-31 | HIGGINS ARTHUR J Director, Officer (President and CEO) | 4 | Stock Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +315,884 315,884 owned after | $12.55 exercise price | 2017-04-04 | |
| 2017-03-28 | Molinelli Gavin Director | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +29,268 29,268 owned after | $14.23 exercise price | 2017-03-30 | |
| 2017-03-28 | MCKEE WILLIAM Director | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +29,268 29,268 owned after | $14.23 exercise price | 2017-03-30 | |
| 2017-02-08 | Schoeneck James A Director, Officer (President and CEO) | 4 | Stock Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +245,000 245,000 owned after | $17.09 exercise price | 2017-02-10 | |
| 2017-02-08 | 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) | +54,200 54,200 owned after | $17.09 exercise price | 2017-02-10 | |
| 2017-02-08 | Vargas Thadd M Officer (SVP, Business Development) | 4 | Stock Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +24,000 24,000 owned after | $17.09 exercise price | 2017-02-10 | |
| 2017-02-08 | 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) | +66,400 66,400 owned after | $17.09 exercise price | 2017-02-10 | |
| 2017-02-08 | Gosling Matthew M Officer (SVP, General Counsel) | 4 | Stock Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +87,000 87,000 owned after | $17.09 exercise price | 2017-02-10 |