SEC Form 4 · accession 0001005201-19-000033
Assertio Therapeutics, Inc · ASRT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Heather L Mason
Director
Period of report
Feb 18, 2019
Accepted (ET)
Feb 19, 2019 · 4:29 pm 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 UnitsF1,F4,F2,F3 | — | Feb 18, 2019 | A | 43,182 | A | — | — | Common Stock | 43,182 | 43,182 | D |
Explanation of responses
- F1Grant of restricted stock unit awards pursuant to the Company's Non-Employee Director Compensation and Grant Policy.
- F2Each restricted stock unit represents a contingent right to receive one share of the registrant's common stock.
- F3One-third of these restricted stock units are scheduled to vest on each of February 18, 2020, 2021 and 2022, assuming continued service through the applicable vesting date.
- F4The 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.