SEC Form 4 · accession 0001179110-15-016752
Assertio Therapeutics, Inc · ASRT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James A Schoeneck
Officer — President and CEO · Director
Period of report
Dec 28, 2015
Accepted (ET)
Dec 28, 2015 · 7:24 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 StockF2 | Dec 28, 2015 | M | 6,365 | $6.11 | A | 6,365 | 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 | $6.11 | Dec 28, 2015 | M | 6,365 | D | — | Jan 12, 2022 | Common Stock | 6,365 | 6,522 | D |
Explanation of responses
- F1111,000 stock options were granted on 01/12/2012 and become exercisable in equal monthly installments for the 48 months thereafter. The stock options exercised on December 28, 2015 were incentive stock options (ISOs).
- F2Amount does not include 398,735 shares of common stock held indirectly by family trust.