Filing Details
- Accession Number:
- 0001005201-18-000025
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2018-12-04 11:29:51
- Reporting Period:
- 2018-12-03
- Accepted Time:
- 2018-12-04 11:29:51
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1005201 | Assertio Therapeutics Inc | ASRT | Pharmaceutical Preparations (2834) | 943229046 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1261506 | A Karen Dawes | Assertio Therapeutics, Inc. 100 South Saunders Road, Suite 300 Lake Forest IL 60045 | Yes | No | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2018-12-03 | 15,000 | $1.49 | 50,510 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2018-12-03 | 8,421 | $4.84 | 42,089 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option | Disposition | 2018-12-03 | 15,000 | $0.00 | 15,000 | $1.49 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2009-12-09 | 2018-12-09 | No | 4 | M | Direct |
Footnotes
- The price reported is a weighted average sale price. The shares were sold in multiple same-way transactions on December 3, 2018 at prices ranging from $4.830 to $4.840 per share of common stock. If requested by the staff of the Securities and Exchange Commission, the issuer, or a security holder of the issuer, the reporting person will provide full information regarding the number of shares of common stock sold at each separate price.
- The derivative securities were granted to the reporting person, and were not sold to the reporting person. As such, the reporting person did not pay any consideration for the derivative securities.
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