0001104659-24-001488.txt : 20240104 0001104659-24-001488.hdr.sgml : 20240104 20240104200049 ACCESSION NUMBER: 0001104659-24-001488 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240102 FILED AS OF DATE: 20240104 DATE AS OF CHANGE: 20240104 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Mason Heather L CENTRAL INDEX KEY: 0001432601 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39294 FILM NUMBER: 24514121 MAIL ADDRESS: STREET 1: 100 SOUTH SAUNDERS ROAD STREET 2: SUITE 300 CITY: LAKE FOREST STATE: IL ZIP: 60045 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Assertio Holdings, Inc. CENTRAL INDEX KEY: 0001808665 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] ORGANIZATION NAME: 03 Life Sciences IRS NUMBER: 850598378 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 100 S. SAUNDERS ROAD STREET 2: SUITE 300 CITY: LAKE FOREST STATE: IL ZIP: 60045 BUSINESS PHONE: (224) 419-7106 MAIL ADDRESS: STREET 1: 100 S. SAUNDERS ROAD STREET 2: SUITE 300 CITY: LAKE FOREST STATE: IL ZIP: 60045 4 1 tm241926-1_4seq1.xml OWNERSHIP DOCUMENT X0508 4 2024-01-02 0 0001808665 Assertio Holdings, Inc. ASRT 0001432601 Mason Heather L ASSERTIO HOLDINGS, INC. 100 SOUTH SAUNDERS ROAD, SUITE 300 LAKE FOREST IL 60045 1 1 0 0 Interim CEO 0 Stock Option (Right to Buy) 1.14 2024-01-02 4 A 0 550000 0.00 A 2034-01-02 Common Stock 550000 550000 D The stock option vests (a) as to 50% in 12 equal monthly installments following January 2, 2024, subject to the reporting person's continued service to the registrant through each applicable vesting date, and (b) as to 50% upon the date a permanent Chief Executive Officer who is hired during the reporting person's service as interim CEO commences employment with the registrant and remains employed for a period of 30 days. The derivative securities were granted to the reporting person, and were not sold to the reporting person. As such, the reporting person did not pay any consideration for the derivative securities. /s/ Sam Schlessinger, attorney-in-fact for Heather L. Mason 2024-01-04