SEC Form 4 · accession 0001179110-15-001154
Assertio Therapeutics, Inc · ASRT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thadd M Vargas
Officer — Senior VP, BD
Period of report
Jan 20, 2015
Accepted (ET)
Jan 22, 2015 · 6:28 pm 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 | Jan 20, 2015 | M | 19,000 | $5.03 | A | 88,443 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionF1 | $5.03 | Jan 20, 2015 | M | 19,000 | D | — | Aug 9, 2015 | Common Stock | 19,000 | 0 | D |
Explanation of responses
- F119,000 stock options were granted on 8/09/2005 and exercisable in 48 equal monthly installments.