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: 4 rows in 2012. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2012-01-12: Reporting owner Vargas Thadd M; Form 4; Security Restricted Stock Unit; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2012-01-12: Reporting owner Sweeney Michael MD; Form 4; Security Restricted Stock Unit; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2012-01-12: Reporting owner Gosling Matthew M; Form 4; Security Restricted Stock Unit; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2012-01-12: Reporting owner Schoeneck James A; Form 4; Security Restricted Stock Units; 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 |
|---|---|---|---|---|---|---|---|---|
| 2012-01-12 | Vargas Thadd M Officer (Senior VP, BD) | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 25,000 owned after | $0.00 | 2012-01-17 | |
| 2012-01-12 | Sweeney Michael MD Officer (CMO and VP, R&D) | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +14,640 14,640 owned after | $0.00 | 2012-01-17 | |
| 2012-01-12 | Gosling Matthew M Officer (Senior VP, General Counsel) | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +27,000 27,000 owned after | $0.00 | 2012-01-17 | |
| 2012-01-12 | Schoeneck James A Director, Officer (President and CEO) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +68,700 68,700 owned after | $0.00 | 2012-01-17 |