SEC Form 4 · accession 0001179110-17-015749
Assertio Therapeutics, Inc · ASRT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
August J Moretti
Officer — Chief Financial Officer & SVP
Period of report
Dec 18, 2017
Accepted (ET)
Dec 20, 2017 · 7:18 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001005201
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionsF1 | $17.61 | Dec 18, 2017 | D | 55,000 | A | — | Feb 4, 2025 | Common Stock | 55,000 | 0 | D |
| Stock OptionsF2 | $16.07 | Dec 18, 2017 | D | 92,500 | A | — | Feb 11, 2026 | Common Stock | 92,500 | 0 | D |
| Stock OptionsF3 | $17.09 | Dec 18, 2017 | D | 54,200 | A | — | Feb 8, 2027 | Common Stock | 54,200 | 0 | D |
Explanation of responses
- F1These stock options were exercisable in 48 equal monthly installments from February 4, 2015.
- F2These stock options were exercisable in 48 equal monthly installments from February 2, 2016.
- F3These stock options were exercisable in 48 equal monthly installments from February 8, 2017.
- F4These stock options were forfeited pursuant to a Transition and Consulting Agreement with the Issuer which was effective as of December 18, 2017.