144: Filer Information
Filer CIK | 0001758376 |
Filer CCC | XXXXXXXX |
Is this a LIVE or TEST Filing? | LIVE TEST |
Submission Contact Information | |
Name | |
Phone | |
E-Mail Address |
Form 144 Filer Information |
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 144
NOTICE OF PROPOSED SALE OF SECURITIES
PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933 | |
FORM 144 |
Filer CIK | 0001758376 |
Filer CCC | XXXXXXXX |
Is this a LIVE or TEST Filing? | LIVE TEST |
Submission Contact Information | |
Name | |
Phone | |
E-Mail Address |
Name of Issuer | Assertio Holdings Inc |
SEC File Number | 001-39294 |
Address of Issuer | 100 South Saunders Rd Suite 300 Lake Forest ILLINOIS 60045 |
Phone | 2244197106 |
Name of Person for Whose Account the Securities are To Be Sold | Daniel A Peisert |
See the definition of "person" in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account
the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given
as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales
for the account of the person filing this notice.
| |
Relationship to Issuer | Officer |
Title of the Class of Securities To Be Sold | Name and Address of the Broker | Number of Shares or Other Units To Be Sold | Aggregate Market Value | Number of Shares or Other Units Outstanding | Approximate Date of Sale | Name the Securities Exchange |
---|---|---|---|---|---|---|
Common | UBS Financial Services Inc 1000 Harbor Blvd 3rd Floor Weehawken NJ 07086 | 31121 | 93674.21 | 94529624 | 09/12/2023 | NASD |
Title of the Class | Date you Acquired | Nature of Acquisition Transaction | Name of Person from Whom Acquired | Is this a Gift? | Date Donor Acquired | Amount of Securities Acquired | Date of Payment | Nature of Payment * |
---|---|---|---|---|---|---|---|---|
Common | 03/19/2018 | rsu grant | Assertio | 669 | 03/19/2018 | compensation | ||
common | 05/31/2018 | rsu grant | assertio | 200 | 05/31/2018 | compensation | ||
common | 11/30/2018 | rsu grant | assertio | 1367 | 11/30/2018 | compensation | ||
common | 11/30/2018 | rsu grant | assertio | 477 | 11/30/2018 | compensation | ||
common | 03/14/2019 | rsu grant | assertio | 250 | 03/14/2019 | compensation | ||
common | 03/14/2019 | purchase | open market | 1250 | 03/14/2019 | cash | ||
common | 08/12/2019 | purchase | open market | 5000 | 08/12/2019 | cash | ||
common | 08/20/2019 | rsu grant | assertio | 1000 | 08/20/2019 | compensation | ||
common | 11/11/2019 | purchase | open market | 2500 | 11/11/2019 | cash | ||
common | 05/20/2021 | rsu grant | assertio | 15909 | 05/20/2021 | compensation | ||
common | 08/20/2019 | purchase | open market | 2500 | 08/20/2019 | cash |
Name and Address of Seller | Title of Securities Sold | Date of Sale | Amount of Securities Sold | Gross Proceeds |
---|---|---|---|---|
Daniel A Peisert 1308 Briarwood Lane Northbrook IL 60062 | Assertio Holdings Inc | 09/11/2023 | 127281 | 386972 |
Remarks | Please accept this additional information about the security lots to be sold. The share quantity was rounded up for three lots because the system would not accept fractional shares. Here is the complete lot information for these three lots. 668.50 shares acquired on 3/19/2018 and 669 was entered on the system. 1,366.75 shares acquired on 11/30/2018 and 1,367 was entered on the system. 476.75 shares acquired on 11/30/2018 and 477 was entered on the system. |
Date of Notice | 09/12/2023 |
ATTENTION: | |
The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed. If such person has adopted a written trading plan or given trading instructions to satisfy Rule 10b5-1 under the Exchange Act, by signing the form and indicating the date that the plan was adopted or the instruction given, that person makes such representation as of the plan adoption or instruction date. | |
Signature | /s/ UBS Financial Services Inc, as attorney-in-fact for Daniel A Peisert |
ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001) |