0001104659-24-013468.txt : 20240209 0001104659-24-013468.hdr.sgml : 20240209 20240209180030 ACCESSION NUMBER: 0001104659-24-013468 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240207 FILED AS OF DATE: 20240209 DATE AS OF CHANGE: 20240209 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Patel Ajay CENTRAL INDEX KEY: 0001849586 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39294 FILM NUMBER: 24616559 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 tm245562-1_4seq1.xml OWNERSHIP DOCUMENT X0508 4 2024-02-07 0 0001808665 Assertio Holdings, Inc. ASRT 0001849586 Patel Ajay ASSERTIO HOLDINGS, INC. 100 SOUTH SAUNDERS ROAD, SUITE 300 LAKE FOREST IL 60045 0 1 0 0 SVP and CFO 0 Restricted Stock Units 0.0 2024-02-07 4 A 0 75000 0 A 2027-02-07 Common Stock 75000 75000 D Stock Option (right to buy) 0.79 2024-02-07 4 A 0 340000 0 A 2034-02-07 Common Stock 340000 340000 D 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 and stock options are scheduled to vest on each of the first three anniversaries of the grant date, assuming continued employment through the applicable vesting date. 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 Ajay Patel 2024-02-09