Welcome to our dedicated page for Assertio Holdings SEC filings (Ticker: ASRT), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
The SEC filings page for Assertio Holdings, Inc. (ASRT) provides direct access to the company’s regulatory disclosures as filed with the U.S. Securities and Exchange Commission. These documents offer detailed information about Assertio’s operations as a pharmaceutical company focused on oncology, neurology, and pain management, and they complement the company’s press releases and investor presentations.
Through this page, readers can review current reports on Form 8-K, where Assertio reports material events such as leadership transitions, executive appointments, supply and licensing agreements, and financial results announcements. For example, recent 8-K filings describe the appointment of a new Chief Executive Officer, the promotion of a President and Chief Operating Officer, and the separation of a former CEO, along with associated management continuity and compensation arrangements.
Filings also document capital markets and listing-related actions, including disclosure of Assertio’s common stock listing on The Nasdaq Stock Market LLC under the symbol ASRT and the implementation of a 1-for-15 reverse stock split of its issued and outstanding common stock. These records provide historical context for Nasdaq listing compliance and changes to the company’s capital structure.
Investors can use Assertio’s SEC filings to understand supply and product agreements, such as amendments to long-term supply contracts for Rolvedon drug substance through its subsidiary Spectrum Pharmaceuticals, Inc., including pricing terms and forecasting obligations. The filings also reference press releases that contain financial results, guidance updates, and strategic commentary.
On Stock Titan, SEC documents are paired with AI-powered summaries that highlight key points from lengthy filings, helping readers quickly identify topics like quarterly performance (10-Q), annual reporting (10-K), and material 8-K events. The platform also surfaces insider and executive-related disclosures, allowing users to follow governance changes and compensation arrangements without reading every line of each filing.
Assertio Holdings EVP and CFO Ajay Patel reported equity award activity involving restricted stock units (RSUs) and common stock. On February 18, 2026, 2,778 RSUs were settled into 2,778 shares of common stock at $0.00 per share, reflecting a derivative exercise/conversion. To cover tax obligations upon vesting, 1,377 shares of common stock were withheld at $11.87 per share, reducing his directly held common stock to 15,365 shares. Following these transactions, Patel also held 5,555 RSUs directly, with one-third scheduled to vest on each of February 18, 2026, 2027 and 2028, assuming continued employment.
Assertio Holdings EVP and General Counsel Sam Schlessinger reported routine equity compensation activity. On February 7, 2026, 1,389 restricted stock units were settled into 1,389 shares of common stock at $0 per share, reflecting that no cash was paid for the grant.
On the same date, 619 shares of common stock were withheld at $12.74 per share to cover taxes due upon vesting, leaving Schlessinger with 12,566 shares of common stock held directly after these transactions. All share amounts reflect a 1-for-15 reverse stock split completed on December 26, 2025.
Assertio Holdings President and COO Paul Schwichtenberg reported routine equity compensation activity. On February 7, 2026, 1,666 restricted stock units settled into an equal number of common shares at $0 per share. To cover taxes on the vesting, 825 common shares were withheld and sold at $12.74 per share.
Following these transactions, Schwichtenberg directly owned 12,009 shares of Assertio common stock and held 1,667 restricted stock units outstanding. All amounts reflect Assertio’s 1-for-15 reverse stock split that took effect on December 26, 2025.
Assertio Holdings EVP and CFO Ajay Patel reported routine equity compensation activity. On February 7, 2026, 1,666 restricted stock units settled into shares of common stock at a stated price of $0, reflecting that no cash was paid for the award. The filing notes all amounts are adjusted for a 1-for-15 reverse stock split effective December 26, 2025.
On the same date, 825 shares of common stock were withheld at $12.74 per share to cover taxes due upon vesting. After these transactions, Patel directly held 13,964 shares of common stock and 1,667 restricted stock units that continue to vest annually through February 7, 2027, subject to continued employment.
Assertio Holdings, Inc. reported that on January 12, 2026 it received a letter from the Listing Qualifications Department of The Nasdaq Stock Market confirming that the company has regained compliance with Nasdaq’s minimum bid price requirement under Listing Rule 5550(a)(2) for continued listing on the Nasdaq Capital Market.
Nasdaq also informed Assertio that the compliance matter is now closed, meaning prior bid-price concerns that could have affected its Nasdaq Capital Market listing status have been resolved.
Assertio Holdings, Inc. reported that Brendan P. O’Grady, its former Chief Executive Officer, has resigned from the Company’s Board of Directors. The resignation became effective on the effective date of a waiver and release agreement he executed on November 17, 2025.
The waiver and release agreement was substantially in the form included with Mr. O’Grady’s existing Management Continuity Agreement, previously filed as an exhibit to a Form 10-Q. This filing focuses solely on documenting his board resignation and related contractual step.
Assertio Holdings (ASRT) reported insider equity awards on a Form 4 for CEO and Director Mark L. Reisenauer dated 11/13/2025. The filing shows 500,000 restricted stock units and 1,000,000 stock options granted.
The options carry a $0.8248 exercise price and expire on 11/13/2035. RSUs are tied to one share each and carry an end date of 11/13/2028. Both awards vest in three equal installments on each of the first three anniversaries of the grant date, contingent on continued employment. The grants were awarded for no cash consideration.
Assertio Holdings (ASRT): A company director reported an open‑market sale of 8,959 shares of common stock on 11/10/2025 at a $0.7597 weighted average price. The sale was made under a Rule 10b5‑1 trading plan adopted on November 22, 2024. Following the transaction, the director reported 98,541 shares beneficially owned, held directly. The trade included multiple executions between $0.7544 and $0.7668 per share.
Assertio Holdings (ASRT) reported stronger Q3 2025 results, with total revenue of $49.5 million, up from $29.2 million a year ago, and net income of $11.4 million versus a prior-year loss. Diluted EPS was $0.11. Growth was led by ROLVEDON product sales of $38.6 million in the quarter.
Management noted that Q3 included large distributor purchases of ROLVEDON to support integration into Assertio Specialty, accompanied by higher discounts and extended payment terms. The company anticipates no material net product sales of ROLVEDON in Q4 2025 and Q1 2026, with regular sales of newly labeled product expected to begin in Q2 2026.
For the nine months, revenue was $105.2 million and net loss was $18.4 million, reflecting an $8.2 million loss on the Assertio Therapeutics divestiture and portfolio actions. Cash and cash equivalents were $38.5 million and short-term investments were $54.9 million as of September 30, 2025; accounts receivable rose to $141.3 million and accrued rebates/returns/discounts to $130.5 million tied to Q3 sales terms. The company recorded a $1.7 million SPRIX intangible impairment and revised SPRIX’s remaining life to one year. Long-term debt consisted of $40.0 million principal of 6.5% convertible notes due 2027. Shares outstanding were 96,252,087 as of November 6, 2025.
Assertio Holdings (ASRT) reported two updates. The company furnished a press release announcing financial results for the three and nine months ended September 30, 2025, and named Paul Schwichtenberg as President and Chief Operating Officer, effective November 3, 2025. Schwichtenberg previously served as Chief Transformation Officer. The press release was filed as Exhibit 99.1 and the Item 2.02 information was furnished, not filed.