Assertio Holdings Inc (ASRT)

Sector:
HEALTH CARE
Industry:
BIOTECHNOLOGY & LIFE SCIENCES
SIC:
PHARMACEUTICAL PREPARATIONS
CEO:
Todd Smith
Employees:
100 S. SAUNDERS ROAD, SUITE 300, LAKE FOREST, IL 60045
(224) 419-7106

We are a leading commercial pharmaceutical company bringing differentiated products to patients. We have a robust portfolio of branded prescription neurology, inflammation and pain medications. The company has grown through business development including acquisitions, licensing and mergers. We are looking to leverage our commercial excellence to be the partner of choice. We are interested in products across all therapeutic areas including our current focus.

View SEC Filings from ASRT instead.

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Funds Holding ASRT (via 13F filings)

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*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 10b5 Perf 1d* Perf 5d* Perf 1m* Max Gain Max Gain Days Max Loss Max Loss Days

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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