SEC Form 4 · accession 0001179110-17-014990
Assertio Therapeutics, Inc · ASRT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Peter D Staple
Director
Period of report
Dec 1, 2017
Accepted (ET)
Dec 5, 2017 · 8:19 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 | Dec 1, 2017 | M | 15,000 | $1.49 | A | 117,534 | I | By Family Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Common StockF1 | $1.49 | Dec 1, 2017 | M | 15,000 | A | — | Dec 9, 2018 | Common Stock | 15,000 | 0 | D |
Explanation of responses
- F115,000 Stock Options were granted on December 6, 2007 and were exercisable in 12 equal monthly installments. The Stock Options exercised on March 31, 2017 were Non-Qualified Stock Options (NSOs).