ASRT 13F Hedge Fund and Asset Management Owners

Funds Holding ASRT (via 13F filings)

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Market Value:

Ranking:

% of portfolio

*Shares are split adjusted
*Please note that if a filer hasn't submitted a 13F filing for a quarter then the filer's shares will be listed as "Sold All"

Mutual Funds Holding ASRT BETA

Active Schedule 13D and 13G filings

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Open Market Buys/Sells Last 60 Days

Open Market Buys (P)

none

Open Market Sells (S)

none

Exercise Derivative Conversion (M)

2.1 Thousand total shares from 1 transactions

Current/Former Insiders

Insider Name	Type	Last Reported Shares Held	Last Reported Date	Filings in past year
PEISERT DANIEL A. PRESIDENT AND CEO	Officer Director	1,028,555	2021-12-01	7
PATEL AJAY SVP AND CAO	Officer	235,000	2021-12-01	4
SCHWICHTENBERG PAUL SVP AND CFO	Officer	235,000	2021-12-01	3
MCKEE WILLIAM	Director	662,489	2021-05-11	1
STAPLE PETER D	Director	816,423	2021-05-11	1
TYREE JAMES L	Director	675,233	2021-05-11	1
MASON HEATHER L	Director	623,431	2021-05-11	2
CR GROUP L.P. CRG PARTNERS III - PARALLEL FUND (A) L.P. CRG PARTNERS III - PARALLEL FUND B (CAYMAN) L.P. CRG PARTNERS III (CAYMAN) LEV AIV I L.P. CRG PARTNERS III (CAYMAN) UNLEV AIV I L.P. CRG PARTNERS III L.P. LOAN SECURITY HOLDINGS I LLC	10% Owner	No longer subject to file	2020-12-23	2
HIGGINS ARTHUR J	Director	742,239	2020-12-05	0
WHEADON DAVID E.	Director	285,846	2020-09-28	0
WALBERT TIMOTHY P	Director	211,111	2020-05-20	0
SMITH TODD N DIRECTOR, PRES & CEO	Officer Director	644,925	2020-05-20	0
STROBECK MARK EVP & CHIEF OPERATING OFFICER	Officer	0	2020-05-20	0
SMILEY ANDREA HESLIN	Director	0	2020-05-20	0
TIMMINS MEGAN C. SVP, GEN CSL & SEC	Officer	0	2020-05-20	0
DAWES KAREN A	Director	84,589	2020-05-08	0
BUKOFZER STAN SVP, CHF SCITFC & TECH OFFICER	Officer	62,916	2020-04-02	0
GALEOTA JAMES JR	Director	12,492	2020-03-30	0
LAVIGNE LOUIS J JR	Director	58,296	2019-05-07	0
FOGARTY JAMES P	Director	106,796	2019-05-07	0
DONENBERG PHILLIP B. SVP AND CFO	Officer	0	2018-07-16	0
GOSLING MATTHEW M SVP, GENERAL COUNSEL	Officer	0	2018-05-11	0
MORETTI AUGUST J CHIEF FINANCIAL OFFICER & SVP	Officer	74,447	2018-03-31	0
VETTICADEN SANTOSH SVP, CHIEF MEDICAL OFFICER ***	Officer	0	2018-02-06	0
VARGAS THADD M SVP, BUSINESS DEVELOPMENT	Officer	0	2017-06-13	0
SRINIVAS G. RAO SVP AND CHIEF MEDICAL OFFICER	Officer	19,527	2017-04-02	0
MOLINELLI GAVIN	Director	5,295,270	2017-03-28	0
ZENOFF DAVID B	Director	93,999	2017-02-21	0
SCHOENECK JAMES A PRESIDENT AND CEO	Officer Director	0	2017-02-08	0
SAVAGE ROBERT G.	Director	0	2016-10-17	0
SAKS SAMUEL R	Director	0	2016-05-18	0
ANIDO VICENTE JR	Director	4,403	2016-05-12	0
SHIVELY RICHARD SCOTT SVP & CHIEF COMMERCIAL OFFICER	Officer	4,290	2016-04-02	0
BURRILL STEVEN	Director	0	2013-12-10	0
SWEENEY MICHAEL MD CMO AND VP, R&D	Officer	9,084	2013-12-02	0
STERN JULIAN N	Director	208,333	2012-12-05	0
SMITH CRAIG R	Director	0	2012-12-04	0
CAMERON TAMMY VP, FINANCE	Officer	0	2011-09-01	0
PELZEL CARL A PRESIDENT AND CEO	Officer Director	0	2011-01-14	0
SHELL JOHN N VP, OPERATIONS	Officer	0	2008-01-25	0
TANG KEVIN C TANG CAPITAL PARTNERS LP TANG CAPITAL MANAGEMENT LLC	10% Owner	3,817,600	2008-01-18	0

Insider Transactions Last 60 Days

Reporting Owners	Filing Date	Trans Date	Trans Code	Shares	Share Price	Acquired Disposed	Shares Owned after	D/I
PEISERT DANIEL A. - Director - Officer PRESIDENT AND CEO	2021-12-02 18:34:13 -0500	2021-12-01	M	2,089		a	94,119	direct
PATEL AJAY - Officer SVP AND CAO	2021-12-02 18:48:45 -0500	2021-12-01	A	235,000		a	235,000	direct
PEISERT DANIEL A. - Director - Officer PRESIDENT AND CEO	2021-12-02 18:34:13 -0500	2021-12-01	M	2,089		d	0	direct
SCHWICHTENBERG PAUL - Officer SVP AND CFO	2021-12-02 18:45:24 -0500	2021-12-01	A	235,000		a	235,000	direct
PEISERT DANIEL A. - Director - Officer PRESIDENT AND CEO	2021-12-02 18:34:13 -0500	2021-12-01	F	564	$1.31	d	93,555	direct
PEISERT DANIEL A. - Director - Officer PRESIDENT AND CEO	2021-12-02 18:34:13 -0500	2021-12-01	A	935,000		a	935,000	direct

* -

Transaction Code Definitions
Code	Definition
A	Grant, award or other acquisition pursuant to Rule 16b-3(d)
C	Conversion of derivative security
D	Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e)
E	Expiration of short derivative position
F	Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3
G	Bona fide gift
H	Expiration (or cancellation) of long derivative position with value received
I	Discretionary transaction in accordance with Rule 16b-3(f) resulting in acquisition or disposition of issuer securities
J	Other acquisition or disposition
L	Small acquisition under Rule 16a-6
M	Exercise or conversion of derivative security exempted pursuant to Rule 16b-3
O	Exercise of out-of-the-money derivative security
P	Open market or private purchase of non-derivative or derivative security
S	Open market or private sale of non-derivative or derivative security
U	Disposition pursuant to a tender of shares in a change of control transaction
W	Acquisition or disposition by will or the laws of descent and distribution
X	Exercise of in-the-money or at-the-money derivative security
Z	Deposit into or withdrawal from voting trust

IBR Securities Loan Availability

Updated throughout the day, this shows the number of shares available to borrow. Data provided by Interactive Brokers

Security	Date/Time	Rebate Rate	Fee Rate	Shares Available
ASSERTIO HOLDINGS INC ASRT	2021-12-03 22:15:03 UTC	-1.2602	1.3302	1000000
ASSERTIO HOLDINGS INC ASRT	2021-12-03 21:45:03 UTC	-1.2602	1.3302	1000000
ASSERTIO HOLDINGS INC ASRT	2021-12-03 21:15:04 UTC	-1.2602	1.3302	1000000
ASSERTIO HOLDINGS INC ASRT	2021-12-03 20:45:03 UTC	-1.2602	1.3302	1000000
ASSERTIO HOLDINGS INC ASRT	2021-12-03 20:15:03 UTC	-1.2602	1.3302	1000000
ASSERTIO HOLDINGS INC ASRT	2021-12-03 19:45:03 UTC	-1.2602	1.3302	1000000
ASSERTIO HOLDINGS INC ASRT	2021-12-03 19:15:04 UTC	-1.2602	1.3302	1000000
ASSERTIO HOLDINGS INC ASRT	2021-12-03 18:45:04 UTC	-1.2651	1.3351	1000000
ASSERTIO HOLDINGS INC ASRT	2021-12-03 18:15:03 UTC	-1.2651	1.3351	1000000
ASSERTIO HOLDINGS INC ASRT	2021-12-03 17:45:03 UTC	-1.2651	1.3351	1000000
ASSERTIO HOLDINGS INC ASRT	2021-12-03 17:15:03 UTC	-1.2651	1.3351	1000000
ASSERTIO HOLDINGS INC ASRT	2021-12-03 16:45:03 UTC	-1.2651	1.3351	1000000
ASSERTIO HOLDINGS INC ASRT	2021-12-03 16:15:04 UTC	-1.2651	1.3351	1000000
ASSERTIO HOLDINGS INC ASRT	2021-12-03 15:45:03 UTC	-1.2651	1.3351	1000000
ASSERTIO HOLDINGS INC ASRT	2021-12-03 15:15:03 UTC	-1.2651	1.3351	1000000
ASSERTIO HOLDINGS INC ASRT	2021-12-03 14:45:03 UTC	-1.0752	1.1452	1000000
ASSERTIO HOLDINGS INC ASRT	2021-12-03 14:15:05 UTC	-1.0752	1.1452	1000000
ASSERTIO HOLDINGS INC ASRT	2021-12-03 13:45:03 UTC	-1.0752	1.1452	1000000
ASSERTIO HOLDINGS INC ASRT	2021-12-03 13:15:03 UTC	-1.0752	1.1452	1000000
ASSERTIO HOLDINGS INC ASRT	2021-12-03 12:45:03 UTC	-1.0752	1.1452	1000000

Current Active Short Positions

Holder	Issuer	Net Short Position	Position Date	Origin
Blackstone Alternative Investment Funds- Blackstone Alternative Multi-Strategy Fund	ASRT	-13450.0 shares, $-12185.7	2021-09-30	N-PORT

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Assertio Holdings Inc (ASRT)