SEC Form 4 · accession 0001179110-17-014991
Assertio Therapeutics, Inc · ASRT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Arthur J Higgins
Officer — President and CEO · Director
Period of report
Dec 1, 2017
Accepted (ET)
Dec 5, 2017 · 8:21 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,F1,F3 | Dec 1, 2017 | F | 13,101 | $7.11 | A | 36,760 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Amount does not include 1,000 shares of common stock held indirectly by Child but includes 15,000 shares held indirectly by Family Trust.
- F2Represents shares of restricted stock forfeited to meet the tax liability triggered by the vesting of such stock.
- F3Amount does not include any unvested restricted stock previously reported on Form 4 by the reporting person.