Assertio Holdings, Inc. is the subject of an amended Schedule 13G/A filing reporting that Nantahala Capital Management, LLC and its managers, Wilmot B. Harkey and Daniel Mack, may be deemed beneficial owners of 0 Shares of Common Stock as of May 29, 2026.
The filing lists the reporting persons' citizenships, the issuer's principal executive office, the class (Common Stock, $0.0001 par value) and CUSIP 04546C304, and shows zero sole or shared voting and dispositive power. Signatures are dated June 2, 2026.
Positive
None.
Negative
None.
Insights
Administrative amendment confirms no current beneficial ownership by the reporting persons.
The amendment formally records that Nantahala Capital Management and its managers hold 0 Shares and have 0% ownership as of May 29, 2026. This is an administrative filing to update Schedule 13G/A ownership disclosures.
Because the filing reports zero holdings, subsequent filings would be the relevant source if ownership changes; timing of any future updates is not provided here.
Filing clarifies reporting relationships without market impact.
The document identifies Nantahala as an investment adviser and lists Messrs. Harkey and Mack as filing as control persons in respect of shares beneficially owned by Nantahala, per the schedule language. It documents issuer address and CUSIP for clarity.
Cash-flow or trading activity is not reported in this amendment; any material change would appear in a later Schedule 13D/G or Form 4 as applicable.
Key Figures
Filing date referenced:May 29, 2026Signature date:June 2, 2026Shares beneficially owned:0 Shares+3 more
6 metrics
Filing date referencedMay 29, 2026ownership as of date
Signature dateJune 2, 2026filing signatures dated
Shares beneficially owned0 Sharesreported for Nantahala and managers
Percent of class0%reported ownership percentage
Par value$0.0001Common Stock par value
CUSIP04546C304issuer security identifier
Key Terms
Schedule 13G/A, beneficial owner, control person, investment adviser
4 terms
Schedule 13G/Aregulatory
"Amendment No. 3 ) ASSERTIO HOLDINGS, INC. Common Stock"
A Schedule 13G/A is an amended public filing with the U.S. securities regulator that updates a previous Schedule 13G, disclosing when an individual or group holds a substantial (typically over 5%) stake in a company and is claiming a passive, non‑controlling intent. Investors monitor these updates because rising or falling holdings can signal changing confidence, potential future moves, or shifts in voting power — like watching a public ledger where large shareholders quietly adjust their positions.
beneficial ownerregulatory
"Nantahala may be deemed to be the beneficial owner of 0 Shares"
A beneficial owner is the person who ultimately owns or controls a financial asset or property, even if their name isn't directly on official documents. Think of it like someone who secretly holds the keys to a safe deposit box—others may appear to have access, but the true owner is the one who benefits from what's inside. Identifying beneficial owners helps ensure transparency and prevent illegal activities like money laundering or fraud.
control personregulatory
"each of Messrs. Harkey and Mack is filing this as a control person"
A control person is an individual or entity that can significantly influence a company’s decisions and direction through ownership, voting power, or contractual rights—think of them as the captain who can steer the ship. Investors care because a control person’s choices affect corporate strategy, board appointments, and transactions that can raise or lower a stock’s value, and they often carry additional legal responsibilities and disclosure requirements to protect other shareholders.
investment adviserregulatory
"Nantahala, an investment adviser as described in ss. 240.13d-1(b)(1)(ii)(E)"
An investment adviser is a person or firm that professionally manages money and gives recommendations about buying, selling, or holding investments. Like a financial coach or guide, they have a legal duty to act in a client's best financial interest, so their advice, fees and potential conflicts can directly affect returns and risk — making their role important for investors who want informed, accountable help with portfolios.
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SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
UNDER THE SECURITIES EXCHANGE ACT OF 1934
(Amendment No. 3)
ASSERTIO HOLDINGS, INC.
(Name of Issuer)
Common Stock, $0.0001 par value
(Title of Class of Securities)
04546C304
(CUSIP Number)
05/29/2026
(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
Rule 13d-1(b)
Rule 13d-1(c)
Rule 13d-1(d)
schemaVersion:
SCHEDULE 13G
CUSIP Number(s):
04546C304
1
Names of Reporting Persons
Nantahala Capital Management, LLC
2
Check the appropriate box if a member of a Group (see instructions)
(a)
(b)
3
Sec Use Only
4
Citizenship or Place of Organization
MASSACHUSETTS
Number of Shares Beneficially Owned by Each Reporting Person With:
5
Sole Voting Power
0.00
6
Shared Voting Power
0.00
7
Sole Dispositive Power
0.00
8
Shared Dispositive Power
0.00
9
Aggregate Amount Beneficially Owned by Each Reporting Person
0.00
10
Check box if the aggregate amount in row (9) excludes certain shares (See Instructions)
11
Percent of class represented by amount in row (9)
0 %
12
Type of Reporting Person (See Instructions)
IA, HC
SCHEDULE 13G
CUSIP Number(s):
04546C304
1
Names of Reporting Persons
Wilmot B. Harkey
2
Check the appropriate box if a member of a Group (see instructions)
(a)
(b)
3
Sec Use Only
4
Citizenship or Place of Organization
UNITED STATES
Number of Shares Beneficially Owned by Each Reporting Person With:
5
Sole Voting Power
0.00
6
Shared Voting Power
0.00
7
Sole Dispositive Power
0.00
8
Shared Dispositive Power
0.00
9
Aggregate Amount Beneficially Owned by Each Reporting Person
0.00
10
Check box if the aggregate amount in row (9) excludes certain shares (See Instructions)
11
Percent of class represented by amount in row (9)
0 %
12
Type of Reporting Person (See Instructions)
IN
SCHEDULE 13G
CUSIP Number(s):
04546C304
1
Names of Reporting Persons
Daniel Mack
2
Check the appropriate box if a member of a Group (see instructions)
(a)
(b)
3
Sec Use Only
4
Citizenship or Place of Organization
UNITED STATES
Number of Shares Beneficially Owned by Each Reporting Person With:
5
Sole Voting Power
0.00
6
Shared Voting Power
0.00
7
Sole Dispositive Power
0.00
8
Shared Dispositive Power
0.00
9
Aggregate Amount Beneficially Owned by Each Reporting Person
0.00
10
Check box if the aggregate amount in row (9) excludes certain shares (See Instructions)
11
Percent of class represented by amount in row (9)
0 %
12
Type of Reporting Person (See Instructions)
IN
SCHEDULE 13G
Item 1.
(a)
Name of issuer:
ASSERTIO HOLDINGS, INC.
(b)
Address of issuer's principal executive offices:
100 SOUTH SAUNDERS ROAD, SUITE 300, LAKE FOREST, IL, 60045
Item 2.
(a)
Name of person filing:
(1) Nantahala Capital Management, LLC ("Nantahala")
(2) Wilmot B. Harkey
(3) Daniel Mack (together the "Reporting Persons")
(b)
Address or principal business office or, if none, residence:
130 Main St. 2nd Floor, New Canaan, CT 06840
(c)
Citizenship:
(1) Nantahala is a Massachusetts limited liability company. (2) Each of Messrs. Harkey and Mack is a citizen of the United States of America.
(d)
Title of class of securities:
Common Stock, $0.0001 par value
(e)
CUSIP No.:
04546C304
Item 3.
If this statement is filed pursuant to §§ 240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a:
(a)
Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o);
(b)
Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c);
(c)
Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c);
(d)
Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8);
(e)
An investment adviser in accordance with § 240.13d-1(b)(1)(ii)(E);
(f)
An employee benefit plan or endowment fund in accordance with § 240.13d-1(b)(1)(ii)(F);
(g)
A parent holding company or control person in accordance with § 240.13d-1(b)(1)(ii)(G);
(h)
A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);
(i)
A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3);
(j)
A non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J). If filing as a non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J),
please specify the type of institution:
(k)
Group, in accordance with Rule 240.13d-1(b)(1)(ii)(K).
Item 4.
Ownership
(a)
Amount beneficially owned:
As of May 29, 2026, Nantahala may be deemed to be the beneficial owner of 0 Shares held by funds and separately managed accounts under its control, and as the managing members of Nantahala, each of Messrs. Harkey and Mack may be deemed to be a beneficial owner of those Shares.
(b)
Percent of class:
As of MAY 29. 2026, each of the Reporting Persons may be deemed to be the beneficial owner of the following percentage of the total number of Shares:
(1) Nantahala Capital Management, LLC ("Nantahala") : 0%
(2) Wilmot B. Harkey: 0%
(3) Daniel Mack: 0%
(c)
Number of shares as to which the person has:
(i) Sole power to vote or to direct the vote:
(1) Nantahala Capital Management, LLC ("Nantahala") : 0 Shares.
(2) Wilmot B. Harkey: 0 Shares.
(3) Daniel Mack: 0 Shares.
(ii) Shared power to vote or to direct the vote:
(1) Nantahala Capital Management, LLC ("Nantahala") : 0 Shares.
(2) Wilmot B. Harkey: 0 Shares.
(3) Daniel Mack: 0 Shares.
(iii) Sole power to dispose or to direct the disposition of:
(1) Nantahala Capital Management, LLC ("Nantahala") : 0 Shares.
(2) Wilmot B. Harkey: 0 Shares.
(3) Daniel Mack: 0 Shares.
(iv) Shared power to dispose or to direct the disposition of:
(1) Nantahala Capital Management, LLC ("Nantahala") : 0 Shares.
(2) Wilmot B. Harkey: 0 Shares.
(3) Daniel Mack: 0 Shares.
Item 5.
Ownership of 5 Percent or Less of a Class.
Ownership of 5 percent or less of a class
Item 6.
Ownership of more than 5 Percent on Behalf of Another Person.
Not Applicable
Item 7.
Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company or Control Person.
If a parent holding company has filed this schedule, pursuant to Rule 13d-1(b)(ii)(G), so indicate under Item 3(g) and attach an exhibit stating the identity and the Item 3 classification of the relevant subsidiary. If a parent holding company has filed this schedule pursuant to Rule 13d-1(c) or Rule 13d-1(d), attach an exhibit stating the identification of the relevant subsidiary.
Each of Messrs. Harkey and Mack is filing this Schedule 13G as a control person in respect of shares beneficially owned by Nantahala, an investment adviser as described in ss. 240.13d-1(b)(1)(ii)(E). See Item 4(a).
Item 8.
Identification and Classification of Members of the Group.
Not Applicable
Item 9.
Notice of Dissolution of Group.
Not Applicable
Item 10.
Certifications:
By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect, other than activities solely in connection with a nomination under § 240.14a-11.
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.
What does Assertio Holdings' Schedule 13G/A from Nantahala say about ownership?
The filing states that Nantahala Capital Management, LLC and managers Harkey and Mack are beneficial owners of 0 Shares of Assertio as of May 29, 2026. It reports 0% ownership and zero voting and dispositive power.
Who filed the amendment and when was it signed for ASRT?
The amendment was filed by Nantahala Capital Management, LLC and managers Wilmot B. Harkey and Daniel Mack. Signatures on the filing are dated June 2, 2026.
What class of securities and CUSIP does the filing reference for Assertio (ASRT)?
The filing references Common Stock, par value $0.0001, and provides CUSIP 04546C304. The issuer address is listed as 100 South Saunders Road, Suite 300, Lake Forest, IL 60045.
Does the filing indicate any voting or dispositive power by the reporting persons?
No. The amendment reports that each of Nantahala, Harkey, and Mack has 0 sole and 0 shared voting power and 0 sole and 0 shared dispositive power as of May 29, 2026.
