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Assertio Holdings, Inc. — Director's Dealing 2021
Feb 13, 2021
34279_dirs_2021-02-12_9470cce0-1b5b-47d0-9015-1a403888f48c.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: Assertio Holdings, Inc. (ASRT)
CIK: 0001808665
Period of Report: 2021-02-10
Reporting Person: Peisert Daniel A. (Director, President and CEO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2021-02-10 | Common Stock | M | 4087 | — | Acquired | 207659 | Direct |
| 2021-02-10 | Common Stock | F | 1414 | $1.16 | Disposed | 206245 | Direct |
| 2021-02-12 | Common Stock | M | 27587 | — | Acquired | 233832 | Direct |
| 2021-02-12 | Common Stock | F | 9545 | $1.14 | Disposed | 224287 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2021-02-10 | Performance Shares | $ | M | 4087 | Disposed | 2021-02-10 | Common Stock (4087.0) | Direct |
| 2021-02-11 | Restricted Stock Units | $ | A | 1834863 | Acquired | 2024-02-11 | Common Stock (1834863.0) | Direct |
| 2021-02-12 | Restricted Stock Units | $ | M | 27587 | Disposed | 2022-02-12 | Common Stock (27587.0) | Direct |
Footnotes
F1: Represents shares of common stock withheld for payment of taxes upon the vesting of performance shares.
F2: Represents shares of common stock withheld for payment of taxes upon the vesting of restricted stock units.
F3: 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.
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: Each restricted stock unit represents a contingent right to receive one share of the registrant's common stock.
F6: 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.
F7: 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.
F8: One-third of these restricted stock units are scheduled to vest on each of February 12, 2020, 2021 and 2022.