SEC Form 4 · accession 0001179110-18-001862
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
Feb 6, 2018
Accepted (ET)
Feb 8, 2018 · 8:15 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1,F2 | — | Feb 6, 2018 | A | 187,200 | A | — | — | Common Stock | 187,200 | 187,200 | D |
Explanation of responses
- F1Each restricted stock unit represents the contingent right to receive one share of common stock upon vesting of the unit.
- F2These restricted stock units are scheduled to vest 33.33% on February 6, 2019, 33.33% on February 6, 2020 and 33.33% on February 6, 2021, assuming continued employment through the applicable vesting date.