0001758376-21-000004.txt : 20211202 0001758376-21-000004.hdr.sgml : 20211202 20211202183413 ACCESSION NUMBER: 0001758376-21-000004 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20211201 FILED AS OF DATE: 20211202 DATE AS OF CHANGE: 20211202 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Peisert Daniel A. CENTRAL INDEX KEY: 0001758376 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39294 FILM NUMBER: 211468145 MAIL ADDRESS: STREET 1: C/O ASSERTIO THERAPEUTICS, INC. STREET 2: 100 SOUTH SAUNDERS ROAD, 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] 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 wf-form4_163848803890545.xml FORM 4 X0306 4 2021-12-01 0 0001808665 Assertio Holdings, Inc. ASRT 0001758376 Peisert Daniel A. ASSERTIO HOLDINGS, INC. 100 SOUTH SAUNDERS ROAD, SUITE 300 LAKE FOREST IL 60045 1 1 0 0 President and CEO Common Stock 2021-12-01 4 M 0 2089 0 A 94119 D Common Stock 2021-12-01 4 F 0 564 1.31 D 93555 D Restricted Stock Units 2021-12-01 4 M 0 2089 0 D 2021-12-01 Common Stock 2089.0 0 D Stock Options 1.31 2021-12-01 4 A 0 935000 0 A 2031-12-01 Common Stock 935000.0 935000 D Represents shares of common stock withheld for payment of taxes upon the vesting of restricted stock units. Each restricted stock unit represents a contingent right to receive one share of the registrant's common stock. One-third of these restricted stock units are scheduled to vest on each of December 1, 2019, 2020 and 2021. 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. One-third of these stock options are scheduled to vest on each of the first 3 anniversaries of the grant date. /s/ Sam Schlessinger, attorney-in-fact for Daniel A. Peisert 2021-12-02