Filing Details

Accession Number:
Form Type:
Zero Holdings:
Publication Time:
2018-12-04 11:29:51
Reporting Period:
Accepted Time:
2018-12-04 11:29:51
SEC Url:
Form 4 Filing
Cik Name Symbol Sector (SIC) IRS No
1005201 Assertio Therapeutics Inc ASRT Pharmaceutical Preparations (2834) 943229046
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
  1. 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.
  2. 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.