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Assertio Therapeutics, Inc. 
 IL
  SEC # 1005201


        
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1,341  SEC Filings
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  from  4/18/97  to  2/12/21  (None in the Past Year)

  List All Filings  or
  Filer / Offerer   Owner / Insider   Issuer / Subject Company   Filing Agent   
 
Most-Recent Filing:    ‘SC 13G/A’ — Amendment to Statement of Acquisition of Beneficial Ownership by a “Passive” Investor — Schedule 13G — Filed re:  Issuer / Subject Company — Filed by:  Allianz Global Investors U.S. Holdings LLC 
 
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notifications of all
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Filings
involving  Assertio Therapeutics, Inc. 

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Forms
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, Documents
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& Exhibits
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 in  584 Filings
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 Filed as:  Filer / Offerer  or  Owner / Insider


        
Latest Filing  Type    Category    Description        Documents
     
6/18/20 OLD15-12BRegistration:  Certification of a Termination of Registration of a Class of Securities — Form 15  OLD 1
5/22/20 OLD8-KUpdate:  Current Reports — Form 8-K  OLD  — Press Releases
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& Conference Calls
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 — Financial Reports
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291

8-K Items: 
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5/22/20 OLD
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  Business & Operations: 
Entry into a Material Definitive Agreement — Item 1.01  OLD  — ‘EX-10’
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74
2/20/20 OLD"Termination of a Material Definitive Agreement — Item 1.02  OLD  — ‘EX-10’
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8
2/20/20 OLD
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  Financial Info: 
Completion of Acquisition or Disposition of Assets — Item 2.01  OLD  — ‘EX-2’
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10
5/11/20 OLD"Results of Operations and Financial Condition — Item 2.02  OLD  — Financial Reports
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66
8/9/19 OLD"Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant — Item 2.03  OLD  — ‘EX-10’
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4
11/6/19 OLD"Cost Associated with Exit or Disposal Activities — Item 2.05  OLD  — ‘EX-2’
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3
5/22/20 OLD
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  Securities & Trading: 
Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing — Item 3.01  OLD 2
8/9/19 OLD"Unregistered Sales of Equity Securities — Item 3.02  OLD  — ‘EX-1’
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2
5/22/20 OLD"Material Modifications to Rights of Security Holders — Item 3.03  OLD  — ‘EX-4’
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4
5/22/20 OLD
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  Governance & Management: 
Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers — Item 5.02  OLD  — List of Directors & Officers
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52
5/22/20 OLD"Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year — Item 5.03  OLD  — ‘EX-3’
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8
2/6/15 OLD"Amendments to the Registrant’s Code of Ethics, or Waiver of a Provision of the Code of Ethics — Item 5.05  OLD 1
5/22/20 OLD"Submission of Matters to a Vote of Security Holders — Item 5.07  OLD 12
4/8/20 OLD
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  Disclosures: 
Regulation FD Disclosure — Item 7.01  OLD  — ‘EX-99’
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28
5/11/20 OLD
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  Events: 
Other Events — Item 8.01  OLD 86
5/22/20 OLD
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  Financials: 
Financial Statements and Exhibits — Item 9.01  OLD  — Financial Reports
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143

5/18/20 OLDDEFA14AProxy:  Definitive Additional Proxy Soliciting Materials — Schedule 14A  OLD 28
5/11/20 OLD10-QUpdate:  Quarterly Reports — Form 10-Q  OLD  — Financial Reports
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67
5/11/20 OLD425Registration:  Prospectuses and Communications – Mergers  OLD 3
4/20/20 OLDDEF 14AProxy:  Definitive Proxy Statements — Schedule 14A  OLD 23
4/8/20 OLDSC TO-IOwnership:  Tender-Offer Statements by Issuers — Schedule TO  OLD 3
3/26/20 OLDSC 13DOwnership:  Statement of Acquisition of Beneficial Ownership by an “Active” Investor — Schedule 13D  OLD 1
3/10/20 OLD10-KUpdate:  Annual Reports — Form 10-K  OLD  — Financial Reports
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23
5/10/19 OLDS-8Registration:  Registration Statements – Securities for Certain Employee Benefit Plans — Form S-8  OLD 16
1/16/19 OLDCORRESPComment:  Comment-Response and Other Letters to the SEC  [ a.k.a. COVER ]  OLD  — All Correspondence with the SEC
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12
8/22/18 OLDEFFECTSEC:  SEC Notices of Effectiveness  OLD 6
8/15/18 OLDS-8 POSRegistration:  Post-Effective Amendments of Form S-8 Registrations  OLD 14
8/15/18 OLDPOS AMRegistration:  Post-Effective Amendments of Registration Statements  OLD 4
8/15/18 OLD8-K12BRegistration:  Notice of Securities Deemed to be Registered by a Successor Issuer — Form 8-K  OLD 1
3/19/18 OLDCT ORDERSEC:  SEC Confidential Treatment Orders  OLD 14
3/16/18 OLDPRE 14AProxy:  Preliminary Proxy Statements — Schedule 14A  OLD 4
3/2/18 OLDS-3Registration:  Registration Statements – Securities for Transactions — Form S-3  OLD 16
10/4/16 OLDPRER14AProxy:  Preliminary Revised Proxy Soliciting Materials — Schedule 14A  OLD 2
9/21/16 OLDPREC14AProxy:  Preliminary Proxy Statements – Contested Solicitations — Schedule 14A  OLD 2
4/25/16 OLD8-A12BRegistration:  Registration Statements for Certain Classes of Securities — Form 8-A  OLD 4
11/20/15 OLDSC 14D9Ownership:  Tender-Offer Solicitation/Recommendation Statements — Schedule 14D-9  OLD 7
9/30/15 OLDDEFC14AProxy:  Definitive Proxy Statement – Contested Solicitation — Schedule 14A  OLD 1
9/5/14 OLD424B5Registration:  Prospectuses – Primary Offerings and Shelf Securities – New Facts or Events  OLD 3
9/4/14 OLDFWPRegistration:  Prospectuses – Free Writing  OLD 2
9/2/14 OLD305B2Registration:  Statement of Eligibility to Act as a Trustee by a Corporation — Form T-1  OLD 1
9/2/14 OLD424B2Registration:  Prospectuses – Primary Offerings and Shelf Securities  OLD 2
7/15/14 OLDS-3ASRRegistration:  Automatic Shelf Registration Statement by a Well-Known Issuer — Form S-3  OLD 1
2/10/06 OLD424B3Registration:  Prospectuses – New Facts or Events  OLD 5
4/22/05 OLD8-A12GRegistration:  Registration Statements for Certain Classes of Securities — Form 8-A  OLD 3
1/6/05 OLDS-3MEFRegistration:  Registration Statement to Add Securities to a Prior Form S-3 Registration  OLD 1
10/23/03 OLD424B4Registration:  Prospectuses – Info Previously Omitted & New Facts or Events  OLD 2
5/8/03 OLDREGDEXRegistration:  Notices of Exempt Offerings of Securities — Form D  OLD 3
5/5/03 OLDARSUpdate:  Annual Report to Security Holders  OLD 1
12/30/02 OLD25Trading:  Notice by an Issuer of the Removal from Listing and Registration on a Securities Exchange of Matured, Redeemed or Retired Securities — Form 25  OLD 1
4/1/02 OLD10-K405Update:  Annual Report — Reg. S-K – Item 405 — Form 10-K  OLD 1
3/30/00 OLD10KSB40Update:  Annual or Annual-Transition Report by a Small Business — Reg. S-B – Item 405 — Form 10-KSB  OLD 1
11/2/99 OLD10QSBUpdate:  Quarterly and Quarterly-Transition Reports by Small Businesses (Optional Form) — Form 10-QSB  OLD 6
3/25/99 OLD10KSBUpdate:  Annual and Annual-Transition Reports by Small Businesses (Optional Form) — Form 10-KSB  OLD 2
10/6/97 OLDSB-2Registration:  Registration Statements by Small-Business Issuers (Optional Form) — Form SB-2  OLD 6
6/27/97 OLD424ARegistration:  Prospectus – Info Substantively Changed or Added  OLD 1

Letters: 
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9/21/16 OLDCOVERComment-Response or Cover Letter to the SEC  [ a.k.a. CORRESP ]  OLD  — All Correspondence with the SEC1

General Exhibits: 
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5/22/20 OLDEX-3Articles of Incorporation/Organization and Bylaws  OLD 22
5/22/20 OLDEX-2Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and Successions  OLD 7
3/17/20 OLDEX-10Material Contracts  OLD 196
3/10/20 OLDEX-23Consents of Experts and Counsel  OLD 83
3/10/20 OLDEX-4Instruments, Including Indentures, Defining the Rights of Security Holders  OLD 26
3/10/20 OLDEX-21Subsidiaries Lists  OLD 7
5/10/19 OLDEX-5Opinions of Counsel re: Legality  OLD 41
9/9/14 OLDEX-1Underwriting Agreements  (and mislabeled “1st Exhibits”)  OLD 13

Additional Exhibits: 
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5/11/20 OLDEX-99Miscellaneous Exhibits, such as Press Releases  OLD  — Press Releases
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& Conference Calls
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174

Financials: 
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5/22/20 OLDXML  &  R#IDEA Financial Reports Info  OLD  — Financial Reports
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2,099
5/22/20 OLDEXCELIDEA Workbooks of Financial Reports Info  OLD  — Workbooks of Financial Reports
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46
5/22/20 OLDEX-101.*XBRL Data  (XBRL Files)  OLD 229
5/22/20 OLDJSONXBRL Instances as JavaScript Object Notation Data  (JSON Files)  OLD 3
5/22/20 OLDZIPXBRL Zipped Folders
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  (Folders of XBRL Files)  OLD 
39
5/11/20 OLDEX-31Certifications — §302 – SOA’02  OLD 140
5/11/20 OLDEX-32Certifications — §906 – SOA’02  OLD 136
2/28/18 OLDEX-12Statements re: Computations of Ratios  OLD 8
11/14/00 OLDEX-27Financial Data Schedules {Pre-XBRL}  OLD  — Financial Reports
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15
12/19/97 OLDEX-11Statements re: Computations of Earnings Per Share  OLD 4

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5/22/20 OLDGRAPHICPhotos, Images and Graphs  OLD 903


Forms
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, Documents
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& Exhibits
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 in  775 Filings
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 Filed re:  Issuer / Subject Company


        

        
Latest Filing  Type    Category    Description        Documents
     
2/12/21 OLDSC 13GOwnership:  Statements of Acquisitions of Beneficial Ownership by “Passive” Investors — Schedule 13G  OLD 144
5/19/20 OLD25-NSETrading:  Notice by a Securities Exchange of the Removal from Listing and Registration of Matured, Redeemed or Retired Securities — Form 25  OLD 1
5/11/20 OLD4Ownership:  Statements of Changes in Beneficial Ownership of Securities by Insiders — Form 4  OLD 431
5/11/20 OLD425Registration:  Prospectuses and Communications – Mergers  OLD 30
4/8/20 OLDSC TO-IOwnership:  Tender-Offer Statements by Issuers — Schedule TO  OLD 3
10/1/19 OLD3Ownership:  Initial Statements of Beneficial Ownership of Securities by Insiders — Form 3  OLD 39
2/14/19 OLD5Ownership:  Annual Statements of Changes in Beneficial Ownership of Securities by Insiders — Form 5  OLD 11
5/22/18 OLDSC 13DOwnership:  Statements of Acquisitions of Beneficial Ownership by “Active” Investors — Schedule 13D  OLD 31
4/10/18 OLDPX14A6GProxy:  Notice of an Exempt Non-Management Proxy Solicitation  OLD 1
10/5/16 OLDPRRN14AProxy:  Preliminary Revised Non-Management Proxy Soliciting Materials – Contested Solicitations and Other Situations — Schedule 14A  OLD 9
9/21/16 OLDPREC14AProxy:  Preliminary Proxy Statements – Contested Solicitations — Schedule 14A  OLD 6
9/19/16 OLDDFAN14AProxy:  Definitive Additional Non-Management Proxy Soliciting Materials — Schedule 14A  OLD 29
8/19/16 OLDDEFC14AProxy:  Definitive Proxy Statements – Contested Solicitations — Schedule 14A  OLD 2
11/20/15 OLDSC 14D9Ownership:  Tender-Offer Solicitation/Recommendation Statements — Schedule 14D-9  OLD 7
11/20/15 OLDSC TO-TOwnership:  Tender-Offer Statements by Third Parties — Schedule TO  OLD 10
9/8/15 OLDDEFN14AProxy:  Definitive Non-Management Proxy Statement — Schedule 14A  OLD 1
8/3/15 OLDPREN14AProxy:  Preliminary Non-Management Proxy Statement — Schedule 14A  OLD 1
9/4/14 OLDFWPRegistration:  Prospectuses – Free Writing  OLD 2

Letters: 
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2/11/19 OLDLETTERComment and Other Letters from the SEC  [ a.k.a. UPLOAD ]  OLD  — All Correspondence with the SEC19
2/11/19 OLDTEXT-EXTRACTComment and Other Letters from the SEC – PDFs’ Text  [ a.k.a. LETTER ]  OLD 2
9/21/16 OLDCOVERComment-Response or Cover Letter to the SEC  [ a.k.a. CORRESP ]  OLD  — All Correspondence with the SEC1

General Exhibits: 
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5/11/20 OLDEX-24Powers of Attorney  OLD 28
3/17/20 OLDEX-10Material Contracts  OLD 3
3/17/20 OLDEX-2Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and Successions  OLD 17
2/13/09 OLDEX-3Articles of Incorporation/Organization and Bylaws  OLD 4
2/13/09 OLDEX-1Underwriting Agreements  (and mislabeled “1st Exhibits”)  OLD 18
4/30/03 OLDEX-4Instrument Defining the Rights of Security Holders  OLD 1

Additional Exhibits: 
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5/19/20 OLDEX-99Miscellaneous Exhibits, such as Press Releases  OLD 55

Graphics: 
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5/11/20 OLDGRAPHICPhotos, Images and Graphs  OLD 1,084


        

Filings History

Year    # of Filings
In descending order
2021 1
2020 44
2019 75
2018 81
2017 69
2016 115
2015 183
2014 72
2013 62
2012 58
2011 63
2010 37
2009 52
2008 53
2007 64
2006 59
2005 34
2004 44
2003 43
2002 73
2001 15
2000 12
1999 7
1998 14
1997 11

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