ASSERTIO THERAPEUTICS, INC. Forms 3, 4 and 5: Restricted Stock Units and Performance Rights
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 12 rows in 2020. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2020-04-02: Reporting owner Bukofzer Stan; Form 4/A; Security Restricted Stock Units; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2020-04-02: Reporting owner Bukofzer Stan; Form 4; Security Restricted Stock Units; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2020-03-30: Reporting owner Galeota James JR; Form 4; Security Restricted Stock Units; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2020-02-18: Reporting owner Mason Heather L; Form 4; Security Restricted Stock Units; 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 |
|---|---|---|---|---|---|---|---|---|
| 2020-04-02 | Bukofzer Stan Officer (SVP, Chf Scitfc & Tech Officer) | 4/A | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −25,370 40,584 owned after | $0.00 | 2020-04-03 | |
| 2020-04-02 | Bukofzer Stan Officer (SVP, Chf Scitfc & Tech Officer) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −25,370 40,584 owned after | $0.00 | 2020-04-03 | |
| 2020-03-30 | Galeota James JR Director | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −12,492 24,983 owned after | $0.00 | 2020-03-31 | |
| 2020-02-18 | Mason Heather L Director | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −14,394 28,788 owned after | $0.00 | 2020-02-19 | |
| 2020-02-12 | Peisert Daniel A. Officer (SVP and CFO) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −27,588 55,175 owned after | $0.00 | 2020-02-12 | |
| 2020-02-12 | HIGGINS ARTHUR J Director, Officer (Director, President and CEO) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −97,412 194,825 owned after | $0.00 | 2020-02-12 | |
| 2020-02-12 | Bukofzer Stan Officer (SVP, Chf Scitfc & Tech Officer) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −27,588 55,175 owned after | $0.00 | 2020-02-12 | |
| 2020-02-06 | Peisert Daniel A. Officer (SVP and CFO) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,700 6,700 owned after | $0.00 | 2020-02-06 | |
| 2020-02-06 | HIGGINS ARTHUR J Director, Officer (Director, President and CEO) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −62,399 62,401 owned after | $0.00 | 2020-02-06 | |
| 2020-02-04 | Peisert Daniel A. Officer (SVP and CFO) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +371,622 371,622 owned after | $0.00 | 2020-02-06 | |
| 2020-02-04 | HIGGINS ARTHUR J Director, Officer (Director, President and CEO) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,037,838 1,037,838 owned after | $0.00 | 2020-02-06 | |
| 2020-02-04 | Bukofzer Stan Officer (SVP, Chf Scitfc & Tech Officer) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +326,577 326,577 owned after | $0.00 | 2020-02-06 |