0001104659-23-119212.txt : 20231116 0001104659-23-119212.hdr.sgml : 20231116 20231116200510 ACCESSION NUMBER: 0001104659-23-119212 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20231114 FILED AS OF DATE: 20231116 DATE AS OF CHANGE: 20231116 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Emany Sravan Kumar CENTRAL INDEX KEY: 0001897662 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39294 FILM NUMBER: 231416139 MAIL ADDRESS: STREET 1: 100 SUMMER ST STREET 2: SUITE 2300 CITY: BOSTON STATE: MA ZIP: 02109 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 tm2330756-2_4seq1.xml OWNERSHIP DOCUMENT X0508 4 2023-11-14 0 0001808665 Assertio Holdings, Inc. ASRT 0001897662 Emany Sravan Kumar ASSERTIO HOLDINGS, INC. 100 SOUTH SAUNDERS ROAD, SUITE 300 LAKE FOREST IL 60045 1 0 0 0 0 Common Stock 2023-11-14 4 A 0 177570 0 A 177570 D Stock Option (right to buy) 1.07 2023-11-14 4 A 0 26308 0 A 2023-11-14 Common Stock 26308 26308 D Restricted stock units were granted in accordance with the Issuer's Nonemployee Director Compensation & Grant Policy on the effective date the Issuer appointed the Reporting Person to serve on its Board of Directors. One-third of these restricted stock units are scheduled to vest on each of November 14, 2024, 2025 and 2026, assuming continued service through the applicable vesting date. Stock options were granted in accordance with the Issuer's Nonemployee Director Compensation & Grant Policy on the effective date the Issuer appointed the Reporting Person to serve on its Board of Directors. One-third of these stock options are scheduled to vest on each of November 14, 2024, 2025 and 2026, assuming continued service through the applicable vesting date. These 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 these derivative securities. /s/ Sam Schlessinger, Attorney-in-fact for Sravan K. Emany 2023-11-16