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: 2/6/2020ACC: 0001005201-20-000006
DirectorOfficer· Director, President and CEO
Since Dec 2018
+1.02M
Net shares
Net buyer
$22.5K
Total sold
0
Open market trades
0B · 0S
4
Total transactions
1.10M acquired · 83.99K disposed
Non-Derivative Transactions2
Common Stock
Direct
Shares
+62.40K
Price / share
—
Trade value
—
% of position
45.4%
2/6/2020
137.53K→199.93K
Common Stock
Direct
Shares
−21.59K
Price / share
$1.04
Trade value
$22.45K
% of position
10.8%
2/6/2020
199.93K→178.34K
Total
Net shares
+40.81K
Net value
-$22.45K
| Security | Date | Type | Shares | Price / Share | Trade Value | % of Position | Held Before | Held After |
|---|---|---|---|---|---|---|---|---|
| Common Stock Direct | 2/6/2020 | M · Option Exercise | +62.40K | — | — | 45.4% | 137.53K | 199.93K |
| Common Stock Direct | 2/6/2020 | F · Tax Withholding | −21.59K | $1.04 | $22.45K | 10.8% | 199.93K | 178.34K |
| Total | +40.81K | -$22.45K | ||||||
Derivative Transactions2
Restricted Stock Units
Direct
Converts to
Common Stock
1.04M shares
Shares
+1.04M
Strike price
Held after
1.04M
Exercisable
—
2/4/2020
Restricted Stock Units
Direct
Converts to
Common Stock
62.40K shares
Shares
−62.40K
Strike price
Held after
62.40K
Exercisable
—
2/6/2020
| Security | Converts To | Date | Type | Shares | Strike Price | Exercisable | Held After |
|---|---|---|---|---|---|---|---|
| Restricted Stock Units Direct | Common Stock1.04M shares | 2/4/2020 | A · Award | +1.04M | — | 1.04M | |
| Restricted Stock Units Direct | Common Stock62.40K shares | 2/6/2020 | M · Option Exercise | −62.40K | — | 62.40K |
Non-Derivative Holdings (Post-Transaction)2
Common Stock
IndirectShares owned3K
Common Stock
IndirectShares owned175K
Total
178K indirect178K
| Security Title | Shares Owned | Ownership Type |
|---|---|---|
| Common Stock | 3K | Indirect |
| Common Stock | 175K | Indirect |
| Total | 178K | 178K indirect |
Derivative Holdings (Post-Transaction)0
No derivative holdings reported