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: 21 rows in 2018. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2018-12-04: Reporting owner Peisert Daniel A.; Form 3; Security Restricted Stock Units; Transaction Holding.
- 2018-12-04: Reporting owner Peisert Daniel A.; Form 3; Security Restricted Stock Units; Transaction Holding.
- 2018-12-04: Reporting owner Peisert Daniel A.; Form 3; Security Restricted Stock Units; Transaction Holding.
- 2018-12-01: Reporting owner Peisert Daniel 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 |
|---|---|---|---|---|---|---|---|---|
| 2018-12-04 holding as of filing | Peisert Daniel A. Officer (SVP and CFO) | 3 | Restricted Stock Units Derivative · Direct | Holding | no price filed | 2018-12-04 | ||
| 2018-12-04 holding as of filing | Peisert Daniel A. Officer (SVP and CFO) | 3 | Restricted Stock Units Derivative · Direct | Holding | no price filed | 2018-12-04 | ||
| 2018-12-04 holding as of filing | Peisert Daniel A. Officer (SVP and CFO) | 3 | Restricted Stock Units Derivative · Direct | Holding | no price filed | 2018-12-04 | ||
| 2018-12-01 | 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) | +25,076 25,076 owned after | $0.00 | 2018-12-04 | |
| 2018-12-01 | 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 | −34,861 69,720 owned after | $0.00 | 2018-12-04 | |
| 2018-07-16 | Donenberg Phillip B. Officer (SVP and CFO) | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +87,163 87,163 owned after | $0.00 | 2018-07-16 | |
| 2018-05-15 | FOGARTY JAMES P Director | 5 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −19,512 0 owned after | $0.00 | 2019-02-14 | |
| 2018-05-15 | DAWES KAREN A Director | 5 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −19,512 0 owned after | $0.00 | 2019-02-14 | |
| 2018-05-15 | STAPLE PETER D Director | 5 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −19,512 0 owned after | $0.00 | 2019-02-14 | |
| 2018-05-15 | MCKEE WILLIAM Director | 5 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −19,512 0 owned after | $0.00 | 2019-02-14 | |
| 2018-05-15 | LAVIGNE LOUIS J JR Director | 5 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −19,512 0 owned after | $0.00 | 2019-02-14 | |
| 2018-05-15 | Tyree James L Director | 5 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −19,512 0 owned after | $0.00 | 2019-02-14 | |
| 2018-05-08 | FOGARTY JAMES P Director | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +31,250 31,250 owned after | $0.00 | 2018-05-10 | |
| 2018-05-08 | LAVIGNE LOUIS J JR Director | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +31,250 31,250 owned after | $0.00 | 2018-05-10 | |
| 2018-05-08 | DAWES KAREN A Director | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +31,250 31,250 owned after | $0.00 | 2018-05-10 | |
| 2018-05-08 | MCKEE WILLIAM Director | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +31,250 31,250 owned after | $0.00 | 2018-05-10 | |
| 2018-05-08 | STAPLE PETER D Director | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +31,250 31,250 owned after | $0.00 | 2018-05-10 | |
| 2018-05-08 | Tyree James L Director | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +31,250 31,250 owned after | $0.00 | 2018-05-10 | |
| 2018-04-02 | Bukofzer Stan Officer (Chief Medical Officer & SVP***) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +91,324 91,324 owned after | $0.00 | 2018-04-04 | |
| 2018-02-06 | 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) | +187,200 187,200 owned after | $0.00 | 2018-02-08 | |
| 2018-02-06 | 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) | +36,800 36,800 owned after | $0.00 | 2018-02-08 |