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: 17 rows in 2015. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2015-05-12: Reporting owner Vargas Thadd M; Form 4; Security Restricted Stock Units; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2015-05-12: Reporting owner Gosling Matthew M; Form 4; Security Restricted Stock Units; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2015-05-12: Reporting owner Moretti August J; Form 4; Security Restricted Stock Units; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2015-05-12: Reporting owner Srinivas G. Rao; 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 |
|---|---|---|---|---|---|---|---|---|
| 2015-05-12 | Vargas Thadd M Officer (Senior VP, BD) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,000 5,000 owned after | $0.00 | 2015-05-14 | |
| 2015-05-12 | Gosling Matthew M Officer (SVP, General Counsel) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,000 5,000 owned after | $0.00 | 2015-05-14 | |
| 2015-05-12 | Moretti August J Officer (Chief Financial Officer & SVP) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,000 5,000 owned after | $0.00 | 2015-05-14 | |
| 2015-05-12 | Srinivas G. Rao Officer (SVP and Chief Medical Officer) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,000 5,000 owned after | $0.00 | 2015-05-14 | |
| 2015-05-12 | Shively Richard Scott Officer (SVP & Chief Commercial Officer) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,000 5,000 owned after | $0.00 | 2015-05-14 | |
| 2015-05-12 | LAVIGNE LOUIS J JR Director | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,936 2,936 owned after | $0.00 | 2015-05-13 | |
| 2015-05-12 | Saks Samuel R Director | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,936 2,936 owned after | $0.00 | 2015-05-13 | |
| 2015-05-12 | Zenoff David B Director | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,936 2,936 owned after | $0.00 | 2015-05-13 | |
| 2015-05-12 | DAWES KAREN A Director | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,936 2,936 owned after | $0.00 | 2015-05-13 | |
| 2015-05-12 | ANIDO VICENTE JR Director | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,936 2,936 owned after | $0.00 | 2015-05-13 | |
| 2015-05-12 | STAPLE PETER D Director | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,936 2,936 owned after | $0.00 | 2015-05-13 | |
| 2015-02-04 | Schoeneck James A Director, Officer (President and CEO) | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +138,000 138,000 owned after | $0.00 | 2015-02-06 | |
| 2015-02-04 | Moretti August J Officer (Chief Financial Officer & SVP) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +22,000 22,000 owned after | $0.00 | 2015-02-06 | |
| 2015-02-04 | Gosling Matthew M Officer (SVP, General Counsel) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +35,000 35,000 owned after | $0.00 | 2015-02-06 | |
| 2015-02-04 | Vargas Thadd M Officer (SVP, Business Development) | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,500 20,500 owned after | $0.00 | 2015-02-06 | |
| 2015-02-04 | Srinivas G. Rao Officer (SVP and Chief Medical Officer) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +17,500 17,500 owned after | $0.00 | 2015-02-06 | |
| 2015-02-04 | Shively Richard Scott Officer (SVP & Chief Commercial Officer) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +17,500 17,500 owned after | $0.00 | 2015-02-06 |