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: 11 rows in 2016. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2016-05-18: Reporting owner STAPLE PETER D; Form 4; Security Restricted Stock Units; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2016-05-18: Reporting owner DAWES KAREN A; Form 4; Security Restricted Stock Units; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2016-05-18: Reporting owner Zenoff David B; Form 4; Security Restricted Stock Units; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2016-05-18: Reporting owner Saks Samuel R; 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 |
|---|---|---|---|---|---|---|---|---|
| 2016-05-18 | STAPLE PETER D Director | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +3,131 3,131 owned after | $0.00 | 2016-05-20 | |
| 2016-05-18 | DAWES KAREN A Director | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +3,131 3,131 owned after | $0.00 | 2016-05-20 | |
| 2016-05-18 | Zenoff David B Director | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +3,131 3,131 owned after | $0.00 | 2016-05-20 | |
| 2016-05-18 | Saks Samuel R Director | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +3,131 3,131 owned after | $0.00 | 2016-05-20 | |
| 2016-05-18 | LAVIGNE LOUIS J JR Director | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +3,131 3,131 owned after | $0.00 | 2016-05-20 | |
| 2016-02-11 | 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) | +40,000 40,000 owned after | $0.00 | 2016-02-16 | |
| 2016-02-11 | 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) | +45,000 45,000 owned after | $0.00 | 2016-02-16 | |
| 2016-02-11 | 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) | +33,500 33,500 owned after | $0.00 | 2016-02-16 | |
| 2016-02-11 | 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) | +25,000 25,000 owned after | $0.00 | 2016-02-16 | |
| 2016-02-11 | 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) | +37,500 37,500 owned after | $0.00 | 2016-02-16 | |
| 2016-02-11 | 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) | +147,000 147,000 owned after | $0.00 | 2016-02-16 |