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  4. [Form 4] Assertio Holdings, Inc. Insider Trading Activity

Director at Assertio (ASRT) granted 4,851 restricted stock units in 2026

Filing Impact
(Neutral)
Filing Sentiment
(Neutral)
Form Type
4

Rhea-AI Filing Summary

Stark David Matthew reported acquisition or exercise transactions in this Form 4 filing.

Assertio Holdings, Inc. director David Matthew Stark received a grant of 4,851 shares of Common Stock in the form of restricted stock units as director compensation. These RSUs vest in full on the earlier of the first anniversary of the grant date or the next annual stockholders’ meeting that occurs at least 50 weeks after the prior year’s meeting. Following this award, Stark directly holds 11,420 shares. The reported share amounts have been adjusted to reflect the company’s 1-for-15 reverse stock split completed on December 26, 2025.

Positive

  • None.

Negative

  • None.
Insider Stark David Matthew
Role null
Type Security Shares Price Value
Grant/Award Common Stock 4,851 $0.00 --
Holdings After Transaction: Common Stock — 11,420 shares (Direct, null)
Footnotes (1)
  1. Restricted stock units that (1) vest in full on the earlier of the first anniversary of the grant date and the next annual meeting of stockholders which is at least 50 weeks after the immediately preceding year's annual meeting, and (2) were granted on the date of the Issuer's 2026 Annual Meeting of Stockholders in accordance with the Issuer's Nonemployee Director Compensation & Grant Policy. On December 26, 2025, the Issuer effected a 1-for-15 reverse stock split (the "Reverse Stock Split"). The number of securities reported on this Form 4 have been adjusted to reflect the Reverse Stock Split.
RSUs granted 4,851 shares Restricted stock units awarded to director on 2026-05-05
Shares after transaction 11,420 shares Total Common Stock directly held by Stark after grant
Grant price per share $0.00 per share Equity compensation, no cash paid for RSUs
Reverse stock split ratio 1-for-15 Reverse split effective December 26, 2025, used to adjust share counts
Restricted stock units financial
"Restricted stock units that (1) vest in full on the earlier of the first anniversary..."
Restricted stock units are a type of company reward where employees are promised shares of stock, but they only fully own these shares after meeting certain conditions, like staying with the company for a set time. They matter because they can become valuable assets and are often used to motivate employees to help the company succeed.
Nonemployee Director Compensation & Grant Policy financial
"were granted on the date of the Issuer's 2026 Annual Meeting ... in accordance with the Issuer's Nonemployee Director Compensation & Grant Policy."
reverse stock split financial
"the Issuer effected a 1-for-15 reverse stock split (the "Reverse Stock Split")."
A reverse stock split is when a company reduces the number of its shares outstanding, making each share more valuable. For example, if you own 100 shares worth $1 each, a 1-for-10 reverse split would turn your 100 shares into 10 shares worth $10 each. Companies often do this to boost their stock price and appear more stable to investors.
Form 4 regulatory
"The number of securities reported on this Form 4 have been adjusted to reflect the Reverse Stock Split."
Form 4 is a official document that company insiders, such as executives or major shareholders, file with regulators whenever they buy or sell company shares. It provides transparency about how those with inside knowledge are trading, helping investors see if insiders are confident in the company's prospects or may be selling for personal reasons. This information can influence investor decisions by revealing insiders' perspectives on the company's value.
Form 4 Insider Transactions: What Each Field Means →
SEC Form 4
FORM 4UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number:3235-0287
Estimated average burden
hours per response:0.5
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
1. Name and Address of Reporting Person*
Stark David Matthew
(Last)(First)(Middle)
ASSERTIO HOLDINGS, INC.
100 SOUTH SAUNDERS ROAD, SUITE 300
(Street)
LAKE FOREST ILLINOIS 60045
(City)(State)(Zip)
UNITED STATES
(Country)		2. Issuer Name and Ticker or Trading Symbol
Assertio Holdings, Inc. [ ASRT ] 		5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
XDirector10% Owner
Officer (give title below)Other (specify below)
2a. Foreign Trading Symbol
3. Date of Earliest Transaction (Month/Day/Year)
05/05/2026		6. Individual or Joint/Group Filing (Check Applicable Line)
XForm filed by One Reporting Person
Form filed by More than One Reporting Person
4. If Amendment, Date of Original Filed (Month/Day/Year)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year)2A. Deemed Execution Date, if any (Month/Day/Year)3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeVAmount(A) or (D)Price
Common Stock05/05/2026A4,851(1)A$011,420(2)D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year)3A. Deemed Execution Date, if any (Month/Day/Year)4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year)7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Explanation of Responses:
1. Restricted stock units that (1) vest in full on the earlier of the first anniversary of the grant date and the next annual meeting of stockholders which is at least 50 weeks after the immediately preceding year's annual meeting, and (2) were granted on the date of the Issuer's 2026 Annual Meeting of Stockholders in accordance with the Issuer's Nonemployee Director Compensation & Grant Policy.
2. On December 26, 2025, the Issuer effected a 1-for-15 reverse stock split (the "Reverse Stock Split"). The number of securities reported on this Form 4 have been adjusted to reflect the Reverse Stock Split.
/s/ Sam Schlessinger, Attorney-in-fact for David M. Stark05/06/2026
** Signature of Reporting PersonDate
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
* Form 4: SEC 1474 (03-26)

Source: View Original Filing on SEC EDGAR

FAQ

What insider transaction did Assertio (ASRT) report in this Form 4?

Assertio reported that director David Matthew Stark received a grant of 4,851 restricted stock units of Common Stock. The award is compensation, not an open-market purchase, and increases his direct holdings to 11,420 shares after the transaction.

Is the Assertio (ASRT) Form 4 transaction a stock purchase or a grant?

The Form 4 shows a grant of 4,851 restricted stock units to director David Matthew Stark, coded as an acquisition (A) with a price of $0.00 per share. This represents equity compensation rather than a cash-funded stock purchase in the market.

How and when do David Stark’s RSUs at Assertio (ASRT) vest?

The 4,851 restricted stock units vest in full on the earlier of the first anniversary of the grant date or the next annual stockholders’ meeting that is at least 50 weeks after the prior year’s annual meeting, aligning vesting with Assertio’s director compensation policy.

How many Assertio (ASRT) shares does David Stark hold after this Form 4?

After the reported equity award, David Matthew Stark directly holds 11,420 shares of Assertio Common Stock. This total includes the impact of the 4,851 restricted stock units granted and reflects adjustments for the company’s prior 1-for-15 reverse stock split.

What reverse stock split did Assertio (ASRT) reference in this Form 4?

Assertio completed a 1-for-15 reverse stock split on December 26, 2025. The share amounts disclosed in this Form 4, including the 4,851 restricted stock units and 11,420 shares held, have been adjusted to reflect the split, ensuring post-split comparability.