Peisert Daniel A. Form 3 Assertio Therapeutics / Daniel A. Peisert ownership change

SEC Form 3

FORM 3

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

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1. Name and Address of Reporting Person^*

Peisert Daniel A.

(Last) (First) (Middle)

C/O ASSERTIO THERAPEUTICS, INC.

100 SOUTH SAUNDERS ROAD, SUITE 300

(Street)

LAKE FOREST IL 60045

(City) (State) (Zip)

2. Date of Event Requiring Statement (Month/Day/Year)
12/01/2018

3. Issuer Name and Ticker or Trading Symbol
Assertio Therapeutics, Inc [ ASRT ]

4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director	10% Owner
X	Officer (give title below)	Other (specify below)
SVP and CFO

5. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4)	2. Amount of Securities Beneficially Owned (Instr. 4)	3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock	10,975	D

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4)	2. Date Exercisable and Expiration Date (Month/Day/Year)		3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)		4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
	Date Exercisable	Expiration Date	Title	Amount or Number of Shares
Stock Option	(1)	11/08/2027	Common Stock	95,667	5.7	D
Restricted Stock Units	(2)	09/18/2021	Common Stock	34,868	0.0	D
Restricted Stock Units	(3)	02/06/2021	Common Stock	20,100	0.0	D
Restricted Stock Units	(4)	08/15/2021	Common Stock	5,442	0.0	D

Explanation of Responses:

1. This option vests as follows: 25% was exercisable on September 18, 2018 and in 36 monthly installments thereafter, vesting in full on September 18, 2021.

2. 25% of these restricted stock units vested on September 18, 2018. 25% are scheduled to vest on each of September 18, 2019, 2020 and 2021.

3. One-third of these restricted stock units are scheduled to vest on each of February 6, 2019, 2020 and 2021.

4. One-third of these restricted stock units are scheduled to vest on each of August 15, 2019, 2020 and 2021.

Remarks:

	/s/ Erin R. McQuade, attorney in fact	12/04/2018
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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