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: 22 rows in 2019. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2019-12-01: Reporting owner Peisert Daniel A.; Form 4; Security Restricted Stock Units; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2019-12-01: Reporting owner HIGGINS ARTHUR J; Form 4; Security Restricted Stock Units; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2019-09-28: Reporting owner Wheadon David E.; Form 4; Security Restricted Stock Units; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2019-09-18: Reporting owner Peisert Daniel A.; Form 4; Security Restricted Stock Units; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2019-12-01 | Peisert Daniel A. Officer (SVP and CFO) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −8,359 16,717 owned after | $0.00 | 2019-12-02 | |
| 2019-12-01 | 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 | −34,860 34,860 owned after | $0.00 | 2019-12-02 | |
| 2019-09-28 | Wheadon David E. Director | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +145,038 145,038 owned after | $0.00 | 2019-10-01 | |
| 2019-09-18 | Peisert Daniel A. Officer (SVP and CFO) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −11,623 23,245 owned after | $0.00 | 2019-09-20 | |
| 2019-08-15 | Peisert Daniel A. Officer (SVP and CFO) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,814 3,628 owned after | $0.00 | 2019-08-15 | |
| 2019-05-08 | Tyree James L Director | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −31,250 0 owned after | $0.00 | 2019-05-09 | |
| 2019-05-08 | STAPLE PETER D Director | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −31,250 0 owned after | $0.00 | 2019-05-09 | |
| 2019-05-08 | MCKEE WILLIAM Director | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −31,250 0 owned after | $0.00 | 2019-05-09 | |
| 2019-05-08 | FOGARTY JAMES P Director | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −31,250 0 owned after | $0.00 | 2019-05-09 | |
| 2019-05-08 | DAWES KAREN A Director | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −31,250 0 owned after | $0.00 | 2019-05-09 | |
| 2019-05-07 | LAVIGNE LOUIS J JR Director | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −31,250 0 owned after | $0.00 | 2019-05-09 | |
| 2019-04-02 | Bukofzer Stan Officer (SVP, Chf Scitfc & Tech Officer) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −25,370 65,954 owned after | $0.00 | 2019-04-03 | |
| 2019-03-30 | Galeota James JR Director | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +37,475 37,475 owned after | $0.00 | 2019-04-02 | |
| 2019-02-18 | Mason Heather L Director | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +43,182 43,182 owned after | $0.00 | 2019-02-19 | |
| 2019-02-12 | HIGGINS ARTHUR J Director, Officer (Director, President and CEO) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +292,237 292,237 owned after | $0.00 | 2019-02-14 | |
| 2019-02-12 | HIGGINS ARTHUR J Director, Officer (Director, President and CEO) | 4 | Performance Shares Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +38,064 38,064 owned after | $0.00 | 2019-02-14 | |
| 2019-02-12 | 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) | +82,763 82,763 owned after | $0.00 | 2019-02-14 | |
| 2019-02-12 | Peisert Daniel A. Officer (SVP and CFO) | 4 | Performance Shares Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,087 4,087 owned after | $0.00 | 2019-02-14 | |
| 2019-02-12 | Bukofzer Stan Officer (SVP, Chief Medical Officer) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +82,763 82,763 owned after | $0.00 | 2019-02-14 | |
| 2019-02-12 | Bukofzer Stan Officer (SVP, Chief Medical Officer) | 4 | Performance Shares Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +18,570 18,570 owned after | $0.00 | 2019-02-14 | |
| 2019-02-06 | 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 | −62,400 124,800 owned after | $0.00 | 2019-02-07 | |
| 2019-02-06 | Peisert Daniel A. Officer (SVP and CFO) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,700 13,400 owned after | $0.00 | 2019-02-07 |