SEC Form 4 · accession 0001179110-16-017698
Assertio Therapeutics, Inc · ASRT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thadd M Vargas
Officer — SVP, Business Development
Period of report
Jan 11, 2016
Accepted (ET)
Jan 12, 2016 · 7:10 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 11, 2016 | M | 18,180 | $7.12 | A | 170,737 | 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 | $7.12 | Jan 11, 2016 | M | 18,180 | D | — | Jan 14, 2021 | Common Stock | 18,180 | 0 | D |
Explanation of responses
- F118,180 stock options were granted on 01/14/2011 and became exercisable in equal monthly installments for the 48 months thereafter. The stock options exercised on January 11, 2016 were incentive stock options (ISOs).