SEC Form 4 · accession 0001179110-15-013479
Assertio Therapeutics, Inc · ASRT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Peter D Staple
Director
Period of report
Sep 30, 2015
Accepted (ET)
Sep 30, 2015 · 6:49 pm EDT
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 | Sep 30, 2015 | M | 5,000 | $6.20 | A | 65,000 | D | |
| Common Stock | Sep 30, 2015 | M | 15,000 | $3.28 | A | 80,000 | 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 | $6.20 | Sep 30, 2015 | M | 5,000 | D | — | Mar 23, 2016 | Common Stock | 5,000 | 0 | D |
| Stock OptionF2 | $3.28 | Sep 30, 2015 | M | 15,000 | D | — | Dec 6, 2016 | Common Stock | 15,000 | 0 | D |
Explanation of responses
- F1Exercisable monthly with respect to 12.5% of the number of shares covered by such option beginning on April 23, 2006 and on the 23rd day of each of the eight months thereafter.
- F2Exercisable monthly with respect to 8.33% of the number of shares covered by such option beginning on January 6, 2007 and on the 6th day of each of the eleven months thereafter.