Assertio Holdings, Inc. — Director's Dealing 2021

Dec 3, 2021

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: Assertio Holdings, Inc. (ASRT)
CIK: 0001808665
Period of Report: 2021-12-01

Reporting Person: Peisert Daniel A. (Director, President and CEO)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2021-12-01	Common Stock	M	2089	—	Acquired	94119	Direct
2021-12-01	Common Stock	F	564	$1.31	Disposed	93555	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2021-12-01	Restricted Stock Units	$	M	2089	Disposed	2021-12-01	Common Stock (2089.0)	Direct
2021-12-01	Stock Options	$1.31	A	935000	Acquired	2031-12-01	Common Stock (935000.0)	Direct

Footnotes

F1: Represents shares of common stock withheld for payment of taxes upon the vesting of restricted stock units.

F2: Each restricted stock unit represents a contingent right to receive one share of the registrant's common stock.

F3: One-third of these restricted stock units are scheduled to vest on each of December 1, 2019, 2020 and 2021.

F4: 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.

F5: One-third of these stock options are scheduled to vest on each of the first 3 anniversaries of the grant date.