SEC Form 4 · accession 0001005201-18-000025
Assertio Therapeutics, Inc · ASRT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Karen A Dawes
Director
Period of report
Dec 3, 2018
Accepted (ET)
Dec 4, 2018 · 11:29 am EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001005201
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Dec 3, 2018 | M | 15,000 | $1.49 | A | 50,510 | D | |
| Common StockF1 | Dec 3, 2018 | S | 8,421 | $4.8361 | D | 42,089 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionF2 | $1.49 | Dec 3, 2018 | M | 15,000 | D | Dec 9, 2009 | Dec 9, 2018 | Common Stock | 15,000 | 0 | D |
Explanation of responses
- F1The price reported is a weighted average sale price. The shares were sold in multiple same-way transactions on December 3, 2018 at prices ranging from $4.830 to $4.840 per share of common stock. If requested by the staff of the Securities and Exchange Commission, the issuer, or a security holder of the issuer, the reporting person will provide full information regarding the number of shares of common stock sold at each separate price.
- F2The 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.