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: 16 rows in 2017. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2017-12-14: Reporting owner HIGGINS ARTHUR J; Form 4; Security Restricted Stock Units; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2017-10-16: Reporting owner Vetticaden Santosh; Form 4; Security Restricted Stock Units; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2017-08-15: Reporting owner MCKEE WILLIAM; Form 4; Security Restricted Stock Units; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2017-08-15: Reporting owner Tyree James L; 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 |
|---|---|---|---|---|---|---|---|---|
| 2017-12-14 | HIGGINS ARTHUR J Director, Officer (President and CEO) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +73,529 73,529 owned after | $0.00 | 2017-12-15 | |
| 2017-10-16 | Vetticaden Santosh Officer (SVP, Chief Medical Officer ***) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +53,325 53,325 owned after | $0.00 | 2017-10-18 | |
| 2017-08-15 | MCKEE WILLIAM Director | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +19,512 19,512 owned after | $0.00 | 2017-08-16 | |
| 2017-08-15 | Tyree James L Director | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +19,512 19,512 owned after | $0.00 | 2017-08-16 | |
| 2017-08-15 | FOGARTY JAMES P Director | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +19,512 19,512 owned after | $0.00 | 2017-08-16 | |
| 2017-08-15 | LAVIGNE LOUIS J JR Director | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +19,512 19,512 owned after | $0.00 | 2017-08-16 | |
| 2017-08-15 | STAPLE PETER D Director | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +19,512 19,512 owned after | $0.00 | 2017-08-16 | |
| 2017-08-15 | DAWES KAREN A Director | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +19,512 19,512 owned after | $0.00 | 2017-08-16 | |
| 2017-03-31 | HIGGINS ARTHUR J Director, Officer (President and CEO) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +139,442 139,442 owned after | $0.00 | 2017-04-04 | |
| 2017-03-31 | 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) | +60,000 60,000 owned after | $0.00 | 2017-04-04 | |
| 2017-03-31 | 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) | +40,000 40,000 owned after | $0.00 | 2017-04-04 | |
| 2017-02-08 | 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) | +105,000 105,000 owned after | $0.00 | 2017-02-10 | |
| 2017-02-08 | 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) | +23,000 23,000 owned after | $0.00 | 2017-02-10 | |
| 2017-02-08 | Vargas Thadd M Officer (SVP, Business Development) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,000 10,000 owned after | $0.00 | 2017-02-10 | |
| 2017-02-08 | 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) | +29,000 29,000 owned after | $0.00 | 2017-02-10 | |
| 2017-02-08 | 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) | +37,000 37,000 owned after | $0.00 | 2017-02-10 |