Assertio Holdings, Inc. — Director's Dealing 2021

Feb 9, 2021

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: Assertio Holdings, Inc. (ASRT)
CIK: 0001808665
Period of Report: 2021-02-04

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

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2021-02-04	Common Stock	M	123874	—	Acquired	242050	Direct
2021-02-04	Common Stock	F	42860	$0.78	Disposed	199190	Direct
2021-02-06	Common Stock	M	6700	—	Acquired	205890	Direct
2021-02-06	Common Stock	F	2318	$0.87	Disposed	203572	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2021-02-04	Restricted Stock Units	$	M	123874	Disposed	2023-02-04	Common Stock (123874.0)	Direct
2021-02-06	Restricted Stock Units	$	M	6700	Disposed	2021-02-06	Common Stock (6700.0)	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 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.

F3: One-third of these restricted stock units are scheduled to vest on each of February 4, 2021, 2022 and 2023, assuming continued employment through the applicable vesting date.

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: These restricted stock units are scheduled to vest 33.33% on February 6, 2019, 33.33% on February 6, 2020 and 33.33% on February 6, 2021.