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: 2/12/2020ACC: 0001005201-20-000012
DirectorOfficer· Director, President and CEO
Since Dec 2018
-31.01K
Net shares
Net seller
$41.9K
Total sold
0
Open market trades
0B · 0S
3
Total transactions
97.41K acquired · 128.42K disposed
Non-Derivative Transactions2
Common Stock
Direct
Shares
+97.41K
Price / share
—
Trade value
—
% of position
54.6%
2/12/2020
178.34K→275.75K
Common Stock
Direct
Shares
−31.01K
Price / share
$1.35
Trade value
$41.86K
% of position
11.2%
2/12/2020
275.75K→244.74K
Total
Net shares
+66.40K
Net value
-$41.86K
| Security | Date | Type | Shares | Price / Share | Trade Value | % of Position | Held Before | Held After |
|---|---|---|---|---|---|---|---|---|
| Common Stock Direct | 2/12/2020 | M · Option Exercise | +97.41K | — | — | 54.6% | 178.34K | 275.75K |
| Common Stock Direct | 2/12/2020 | F · Tax Withholding | −31.01K | $1.35 | $41.86K | 11.2% | 275.75K | 244.74K |
| Total | +66.40K | -$41.86K | ||||||
Derivative Transactions1
Restricted Stock Units
Direct
Converts to
Common Stock
97.41K shares
Shares
−97.41K
Strike price
Held after
194.82K
Exercisable
—
2/12/2020
| Security | Converts To | Date | Type | Shares | Strike Price | Exercisable | Held After |
|---|---|---|---|---|---|---|---|
| Restricted Stock Units Direct | Common Stock97.41K shares | 2/12/2020 | M · Option Exercise | −97.41K | — | 194.82K |
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