0001808665-21-000005.txt : 20210212 0001808665-21-000005.hdr.sgml : 20210212 20210212180355 ACCESSION NUMBER: 0001808665-21-000005 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210210 FILED AS OF DATE: 20210212 DATE AS OF CHANGE: 20210212 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: 21630510 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_161317101365578.xml FORM 4 X0306 4 2021-02-10 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 2021-02-10 4 M 0 4087 0 A 207659 D Common Stock 2021-02-10 4 F 0 1414 1.16 D 206245 D Common Stock 2021-02-12 4 M 0 27587 0 A 233832 D Common Stock 2021-02-12 4 F 0 9545 1.14 D 224287 D Performance Shares 2021-02-10 4 M 0 4087 0 D 2021-02-10 2021-02-10 Common Stock 4087.0 0 D Restricted Stock Units 2021-02-11 4 A 0 1834863 0 A 2024-02-11 Common Stock 1834863.0 1834863 D Restricted Stock Units 2021-02-12 4 M 0 27587 0 D 2022-02-12 Common Stock 27587.0 27588 D Represents shares of common stock withheld for payment of taxes upon the vesting of performance shares. Represents shares of common stock withheld for payment of taxes upon the vesting of restricted stock units. Each performance share represents the contingent right to receive one share of common stock. This transaction represents the settlement of vested performance shares in shares of common stock. 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. 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 February 11, 2022, 2023 and 2024, assuming continued employment through the applicable vesting date. Each restricted stock unit represents the contingent right to receive one share of common stock. This transaction represents the settlement of vested restricted stock units in shares of common stock. One-third of these restricted stock units are scheduled to vest on each of February 12, 2020, 2021 and 2022. /s/ Jennifer Hipelius, attorney-in-fact for Daniel A. Peisert 2021-02-12