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.
Assertio Holdings, Inc. filings document formal disclosures for a Nasdaq-listed commercial pharmaceutical company, including material-event reports, annual meeting voting results, governance actions, and capital-structure matters. The record includes disclosures on common stock, convertible senior notes, tender-offer communications, and amendments to equity incentive plan provisions.
Assertio's SEC reports also cover material definitive agreements and completed asset-sale disclosures involving branded products such as INDOCIN, SPRIX, SYMPAZAN, CAMBIA, ZIPSOR, and OTREXUP. These filings describe transaction documents, Regulation FD communications, shareholder approvals, executive-compensation plan matters, and operating subjects tied to the company's pharmaceutical commercialization business.
Assertio Holdings EVP and CFO Ajay Patel reported equity award transactions involving restricted stock units and common stock. On February 21, 2026, 1,143 restricted stock units were converted into 1,143 shares of common stock at a stated price of $0.00 per share, reflecting settlement of vested units. In a related move, 566 shares of common stock were withheld at $11.84 per share to cover tax obligations upon vesting, leaving Patel with 15,942 shares of common stock held directly after these transactions. The restricted stock units were granted at no cost and vest in three equal installments on February 21 of 2024, 2025 and 2026, subject to continued employment.
Assertio Holdings, Inc. President and COO Paul Schwichtenberg reported equity compensation activity involving restricted stock units and common stock. He exercised 1,143 restricted stock units, which converted into 1,143 shares of common stock at a price of $0.0000 per share.
Of the resulting common shares, 566 were withheld at $11.8400 per share to cover tax obligations upon vesting, leaving him with 13,987 shares of common stock held directly after the transactions. Each restricted stock unit represents the right to receive one share of common stock.
The restricted stock units vest in three equal installments on February 21, 2024, February 21, 2025 and February 21, 2026, subject to continued employment. The derivative securities were granted to him without any purchase price being paid.
Assertio Holdings, Inc. executive vice president and general counsel Sam Schlessinger reported equity award activity involving restricted stock units and common stock. On February 18, 2026, he exercised 2,778 restricted stock units, which settled into 2,778 shares of common stock at no cash cost, reflecting the conversion of previously granted derivative securities.
In a related move, 1,239 common shares were withheld on the same date to cover tax obligations upon vesting, at a reported price of 11.8700 per share, characterized as a tax-withholding disposition rather than an open-market sale. Following these transactions, Schlessinger directly held 14,105 shares of common stock and 5,555 restricted stock units. The filing notes that each restricted stock unit represents the right to receive one share of common stock and that one-third of the reported units vests on each of February 18, 2026, 2027, and 2028, contingent on continued employment.
Assertio Holdings, Inc. President and COO Paul Schwichtenberg reported equity award activity involving restricted stock units (RSUs) and common stock. He acquired 2,778 RSUs through a derivative exercise and, in a corresponding move, received 2,778 shares of common stock at a stated price of $0.0000 per share as settlement of vested RSUs. To cover tax obligations upon vesting, 1,377 common shares were withheld at a price of $11.87 per share, described as a tax-withholding disposition rather than an open-market sale. After these transactions, he held 13,410 shares of common stock directly and 5,555 RSUs. Each RSU represents the right to receive one share of common stock, with one-third scheduled to vest on each of February 18, 2026, 2027 and 2028, subject to continued employment.
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.