SEC Form 4 · accession 0001179110-18-009699
Assertio Therapeutics, Inc · ASRT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Phillip B. Donenberg
Officer — SVP and CFO
Period of report
Jul 16, 2018
Accepted (ET)
Jul 16, 2018 · 4:10 pm EDT
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 UnitF1,F2 | — | Jul 16, 2018 | A | 87,163 | A | — | — | Common Stock | 87,163 | 87,163 | 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 July 16, 2019, 33.33% on July 16, 2020 and 33.33% on July 16, 2021, assuming continued employment through the applicable vest period.