HIGGINS ARTHUR J (Director, President and CEO) exercised options at ASSERTIO THERAPEUTICS, INC
Option exercise — a mechanical event triggered by vesting or expiry. Not a discretionary conviction trade.
M · 1 exercise
Filed: 12/2/2019ACC: 0001005201-19-000130
DirectorOfficer· Director, President and CEO
Since Dec 2018
-10.21K
Net shares
Net seller
$7.8K
Total sold
0
Open market trades
0B · 0S
3
Total transactions
34.86K acquired · 45.07K disposed
Non-Derivative Transactions2
Common Stock
Direct
Shares
+34.86K
Price / share
—
Trade value
—
% of position
30.9%
12/1/2019
112.88K→147.74K
Common Stock
Direct
Shares
−10.21K
Price / share
$0.76
Trade value
$7.76K
% of position
6.9%
12/1/2019
147.74K→137.53K
Total
Net shares
+24.65K
Net value
-$7.76K
| Security | Date | Type | Shares | Price / Share | Trade Value | % of Position | Held Before | Held After |
|---|---|---|---|---|---|---|---|---|
| Common Stock Direct | 12/1/2019 | M · Option Exercise | +34.86K | — | — | 30.9% | 112.88K | 147.74K |
| Common Stock Direct | 12/1/2019 | F · Tax Withholding | −10.21K | $0.76 | $7.76K | 6.9% | 147.74K | 137.53K |
| Total | +24.65K | -$7.76K | ||||||
Derivative Transactions1
Restricted Stock Units
Direct
Converts to
Common Stock
34.86K shares
Shares
−34.86K
Strike price
Held after
34.86K
Exercisable
—
12/1/2019
| Security | Converts To | Date | Type | Shares | Strike Price | Exercisable | Held After |
|---|---|---|---|---|---|---|---|
| Restricted Stock Units Direct | Common Stock34.86K shares | 12/1/2019 | M · Option Exercise | −34.86K | — | 34.86K |
Non-Derivative Holdings (Post-Transaction)2
Common Stock
IndirectShares owned175K
Common Stock
IndirectShares owned3K
Total
178K indirect178K
| Security Title | Shares Owned | Ownership Type |
|---|---|---|
| Common Stock | 175K | Indirect |
| Common Stock | 3K | Indirect |
| Total | 178K | 178K indirect |
Derivative Holdings (Post-Transaction)0
No derivative holdings reported