SEC Form 4 · accession 0001005201-18-000023
Assertio Therapeutics, Inc · ASRT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Daniel A. Peisert
Officer — SVP and CFO
Period of report
Dec 1, 2018
Accepted (ET)
Dec 4, 2018 · 11:20 am EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001005201
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF3,F1,F2 | — | Dec 1, 2018 | A | 25,076 | A | — | Dec 1, 2021 | Common Stock | 25,076 | 25,076 | D |
Explanation of responses
- F1Each restricted stock unit represents a contingent right to receive one share of the registrant's common stock
- F2One-third of these restricted stock units are scheduled to vest on each of December 1, 2019, 2020 and 2021.
- F3The derivative securities were granted to the reporting person, and were not sold to the reporting person. As such, the reporting person did not pay any consideration for the derivative securities.