ASRT / Assertio Holdings, Inc. - Pemfailan SEC, Laporan Tahunan, Penyata Proksi

Assertio Reports Second Quarter 2025 Financial Results Second Quarter Total Net Product Sales of $28.8 Million, Cash and Investments Increase to $98.2 Million Narrows Guidance on Continued Progress Implementing Long-Term Business Strategy

Exhibit 99.1 Assertio Reports Second Quarter 2025 Financial Results Second Quarter Total Net Product Sales of $28.8 Million, Cash and Investments Increase to $98.2 Million Narrows Guidance on Continued Progress Implementing Long-Term Business Strategy LAKE FOREST, IL. – August 11, 2025 – Assertio Holdings, Inc. (“Assertio” or the “Company”) (Nasdaq: ASRT), a pharmaceutical company with comprehensi

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 Form 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): August 11, 2025 ASSERTIO HOLDINGS

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 Form 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): August 11, 2025 ASSERTIO HOLDINGS, INC. (Exact name of registrant as specified in its charter) Delaware 01-39294 85-0598378 (State or Other Jurisdiction of Incorporation) (Commission

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED JUNE 30, 2025 ☐ TRANSITION REPORT PURSUANT TO S

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED JUNE 30, 2025 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO COMMISSION FILE NUMBER 001-39294 ASSERTIO HOLDINGS, INC

As filed with the Securities and Exchange Commission on May 19, 2025

As filed with the Securities and Exchange Commission on May 19, 2025 Registration No.

Filing Fee Table.

Exhibit 107.1 Calculation of Filing Fee Tables FORM S-8 (Form Type) ASSERTIO HOLDINGS, INC. (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered Securities Security Type Security Class Title Fee Calculation Rule Amount Registered (1) Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Equity(1) Common stock, par

Amended and Restated 2014 Omnibus Incentive Plan (incorporated by reference to Exhibit 10.1 to the Company’s Current Report on Form 8-K filed on May 13, 2025).

Exhibit 10.1 ASSERTIO HOLDINGS, INC. AMENDED AND RESTATED 2014 OMNIBUS INCENTIVE PLAN 1.     Plan.     Assertio Holdings, Inc., a Delaware corporation (the “Company”), originally established the 2014 Omnibus Incentive Plan (the “Original Plan”), effective as of February 19, 2014 (the “Effective Date”). The Original Plan was most recently amended and restated in its entirety effective May 23, 2024

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) May 7, 2025 ASSERTIO HOLDINGS, INC

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) May 7, 2025 ASSERTIO HOLDINGS, INC. (Exact name of registrant as specified in its charter) Delaware 001-39294 85-0598378 (State or other jurisdiction of incorporation) (Commission File

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 Form 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): May 12, 2025 ASSERTIO HOLDINGS, I

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 Form 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): May 12, 2025 ASSERTIO HOLDINGS, INC. (Exact name of registrant as specified in its charter) Delaware 01-39294 85-0598378 (State or Other Jurisdiction of Incorporation) (Commission Fil

Amended and Restated Annual Bonus Plan

Exhibit 10.1 ASSERTIO HOLDINGS, INC. AMENDED AND RESTATED ANNUAL BONUS PLAN (as adopted by the Board of Directors on May 6, 2025) Assertio Holdings, Inc. (“Assertio” or the “Company) has established an Annual Bonus Plan (the “Bonus Plan”) that is designed to align employee performance with annual corporate goals and to reward the achievement of corporate and personal goals during the plan year, wh

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED MARCH 31, 2025 ☐ TRANSITION REPORT PURSUANT TO

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED MARCH 31, 2025 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO COMMISSION FILE NUMBER 001-39294 ASSERTIO HOLDINGS, IN

Assertio Reports First Quarter 2025 Financial Results First Quarter Total Net Product Sales of $26.0 Million, In Line with 2025 Outlook Provides Update on Long-Term Business Strategy Designed to Create Sustainable Near-Term Growth and Increased Long-

Exhibit 99.1 Assertio Reports First Quarter 2025 Financial Results First Quarter Total Net Product Sales of $26.0 Million, In Line with 2025 Outlook Provides Update on Long-Term Business Strategy Designed to Create Sustainable Near-Term Growth and Increased Long-Term Value LAKE FOREST, IL. – May 12, 2025 – Assertio Holdings, Inc. (“Assertio” or the “Company”) (Nasdaq: ASRT), a pharmaceutical compa

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.    )

TABLE OF CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.    ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.    )

TABLE OF CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.    ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☒ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule

Assertio Reports Fourth Quarter and Full Year 2024 Financial Results Fourth Quarter Net Product Sales $29.6 Million, Cash Flow from Operations of $11.5 Million Full Year Net Product Sales $120.8 Million, Rolvedon Sales Exceed $60.0 Million Full Year

Exhibit 99.1 Assertio Reports Fourth Quarter and Full Year 2024 Financial Results Fourth Quarter Net Product Sales $29.6 Million, Cash Flow from Operations of $11.5 Million Full Year Net Product Sales $120.8 Million, Rolvedon Sales Exceed $60.0 Million Full Year Cash Flow from Operations of $26.4 Million, Cash and Investments Increases to $100.1 Million LAKE FOREST, IL. – March 12, 2025 – Assertio

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 Form 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): March 12, 2025 ASSERTIO HOLDINGS,

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 Form 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): March 12, 2025 ASSERTIO HOLDINGS, INC. (Exact name of registrant as specified in its charter) Delaware 001-39294 85-0598378 (State or Other Jurisdiction of Incorporation) (Commission

er Trading Policy

Exhibit 19.1 ASSERTIO HOLDINGS, INC. INSIDER TRADING POLICY (February 13, 2023) This Insider Trading Policy (the “Policy”) prohibits trading in the Securities (as defined below) of Assertio Holdings, Inc. (the “Company”) and other publicly-traded companies while in possession of material, nonpublic information about such company. All references to the “Company” in this Policy include any subsidiar

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE FISCAL YEAR ENDED DECEMBER 31, 2024 ☐ TRANSITION REPORT PURSUANT TO SECTI

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE FISCAL YEAR ENDED DECEMBER 31, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO Commission File Number: 001-39294 ASSERTIO HOLDINGS, INC. (

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 Form 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): January 22, 2025 ASSERTIO HOLDING

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 Form 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): January 22, 2025 ASSERTIO HOLDINGS, INC. (Exact name of registrant as specified in its charter) Delaware 01-39294 85-0598378 (State or Other Jurisdiction of Incorporation) (Commission

Regulation FD Disclosure, Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 Form 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): December 12, 2024 ASSERTIO HOLDINGS, INC. (Exact name of registrant as specified in its charter) Delaware 01-39294 85-0598378 (State or Other Jurisdiction of Incorporation) (Commissio

Assertio Holdings, Inc. Appoints Mark Reisenauer to Its Board of Directors

Exhibit 99.2 Assertio Holdings, Inc. Appoints Mark Reisenauer to Its Board of Directors LAKE FOREST, Ill., December 17, 2024 – Assertio Holdings, Inc. (“Assertio” or the “Company”) (Nasdaq: ASRT), a pharmaceutical company with comprehensive commercial capabilities offering differentiated products to patients, announced today that Mark Reisenauer has been appointed as an independent director to the

Assertio Holdings, Inc. Appoints Paul Schwichtenberg to New CTO Role, Mary Pietryga as CCO CTO Role to Focus on Growth from New Market and Revenue Strategies

Exhibit 99.1 Assertio Holdings, Inc. Appoints Paul Schwichtenberg to New CTO Role, Mary Pietryga as CCO CTO Role to Focus on Growth from New Market and Revenue Strategies LAKE FOREST, Ill., December 12, 2024 – Assertio Holdings, Inc. (“Assertio” or the “Company”) (Nasdaq: ASRT), a pharmaceutical company with comprehensive commercial capabilities offering differentiated products to patients, announ

ASRT / Assertio Holdings, Inc. / ARMISTICE CAPITAL, LLC Passive Investment

SC 13G/A 1 armistice-asrt093024a5.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 5)* Assertio Holdings, Inc. (Name of Issuer) Common Stock, $001 par value (Title of Class of Securities) 04546C205 (CUSIP Number) September 30, 2024 (Date of Event Which Requires Filing of this Statement) Check the appro

Assertio Reports Third Quarter 2024 Financial Results Third Quarter Total Net Product Sales of $28.7 Million Rolvedon Net Product Sales of $15.0 Million Cash and Short-Term Investments of $88.6 Million

Exhibit 99.1 Assertio Reports Third Quarter 2024 Financial Results Third Quarter Total Net Product Sales of $28.7 Million Rolvedon Net Product Sales of $15.0 Million Cash and Short-Term Investments of $88.6 Million LAKE FOREST, IL. – November 11, 2024 – Assertio Holdings, Inc. (“Assertio” or the “Company”) (Nasdaq: ASRT), a pharmaceutical company with comprehensive commercial capabilities offering

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 Form 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): November 07, 2024 ASSERTIO HOLDINGS, INC. (Exact name of registrant as specified in its charter) Delaware 01-39294 85-0598378 (State or Other Jurisdiction of Incorporation) (Commissio

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED SEPTEMBER 30, 2024 ☐ TRANSITION REPORT PURSUANT

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED SEPTEMBER 30, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO COMMISSION FILE NUMBER 001-39294 ASSERTIO HOLDINGS

ASSERTIO HOLDINGS INC. (NASDAQ:ASRT) Q3 2024 EARNINGS CONFERENCE CALL NOVEMBER 11, 2024 4:30 PM ET

Exhibit 99.2 ASSERTIO HOLDINGS INC. (NASDAQ:ASRT) Q3 2024 EARNINGS CONFERENCE CALL NOVEMBER 11, 2024 4:30 PM ET CORPORATE SPEAKERS: Matthew Kreps Assertio Holdings; Investor Relations Brendan O’Grady Assertio Holdings; Chief Executive Officer Ajay Patel Assertio Holdings; Chief Financial Officer PARTICIPANTS: Thomas Flaten Lake Street Capital Markets; Analyst Nazibur Rahman Maxim Group; Analyst Sc

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 Form 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): August 7, 2024 ASSERTIO HOLDINGS, INC. (Exact name of registrant as specified in its charter) Delaware 01-39294 85-0598378 (State or Other Jurisdiction of Incorporation) (Commission F

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED JUNE 30, 2024 ☐ TRANSITION REPORT PURSUANT TO S

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED JUNE 30, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO COMMISSION FILE NUMBER 001-39294 ASSERTIO HOLDINGS, INC

9, 2024, between the Company and Brendan O’Grady

Exhibit 10.3 ASSERTIO HOLDINGS, INC MANAGEMENT CONTINUITY AGREEMENT This Management Continuity Agreement (the “Agreement”) is effective as of May 29, 2024 (the “Effective Date”) by and between Brendan O’Grady (“Employee”) and Assertio Holdings, Inc., a Delaware corporation (the “Company”). This Agreement is intended to provide Employee with certain benefits described herein upon the occurrence of

Assertio Reports Second Quarter 2024 Financial Results Second Quarter Total Net Product Sales of $30.7 Million Rolvedon Growth Continues, with $15.1 million in Net Product Sales $7.4 Million in Cash Flow from Operations, Cash and Short-Term Investmen

Exhibit 99.1 Assertio Reports Second Quarter 2024 Financial Results Second Quarter Total Net Product Sales of $30.7 Million Rolvedon Growth Continues, with $15.1 million in Net Product Sales $7.4 Million in Cash Flow from Operations, Cash and Short-Term Investments Increases to $88.4 Million LAKE FOREST, IL. – August 7, 2024 – Assertio Holdings, Inc. (“Assertio” or the “Company”) (Nasdaq: ASRT), a

Non‑Employee Director Compensation and Grant Policy

Exhibit 10.4 ASSERTIO HOLDINGS, INC. NONEMPLOYEE DIRECTOR COMPENSATION AND GRANT POLICY 1. Annual Cash Retainer. All nonemployee directors of the Company receive an annual cash retainer of $55,000. 2. Additional Retainer — Chairman of the Board. A non-employee chairman of the Board of Directors receives an additional annual cash retainer of $50,000. 3. Additional Retainer — Audit Committee. The ch

, 2024, between the Company and

Exhibit 10.2 May 19, 2024 Brendan O’Grady Dear Brendan: I am pleased to provide this letter agreement setting forth the key terms and conditions for you to serve as the Chief Executive Officer (“CEO”) of Assertio Holdings, Inc. (the “Company”) reporting to the Board of Directors of the Company (the “Board”) with an agreed upon start date of May 29, 2024. 1. Duties; Responsibilities. You will have

Amended and Restated Bylaws of Assertio Holdings, Inc. dated May 30, 2024

Exhibit 3.1 BYLAWS OF ASSERTIO HOLDINGS, INC. (a Delaware corporation) Article I CORPORATE OFFICES Section 1.1 Registered Office. The registered office of Assertio Holdings, Inc., a Delaware corporation (the “Corporation”) shall be fixed in the Certificate of Incorporation of the Corporation (as the same may be amended and/or restated from time to time, the “Certificate of Incorporation”). Section

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year, Financial Statements and Exhibits, Submission of Matters to a Vote of Security Holders

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) May 23, 2024 ASSERTIO HOLDINGS, INC. (Exact name of registrant as specified in its charter) Delaware 001-39294 85-0598378 (State or other jurisdiction of incorporation) (Commission Fil

Filing Fee Table.

Exhibit 107.1 Calculation of Filing Fee Tables FORM S-8 (Form Type) ASSERTIO HOLDINGS, INC. (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered Securities Security Type Security Class Title (1) Fee Calculation Rule Amount Registered (1) Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Equity Common stock, par

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 Form 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): May 16, 2024 ASSERTIO HOLDINGS, I

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 Form 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): May 16, 2024 ASSERTIO HOLDINGS, INC. (Exact name of registrant as specified in its charter) Delaware 01-39294 85-0598378 (State or Other Jurisdiction of Incorporation) (Commission Fil

As filed with the Securities and Exchange Commission on May 29, 2024

As filed with the Securities and Exchange Commission on May 29, 2024 Registration No.

Amended and Restated 2014 Omnibus Incentive Plan.

Exhibit 99.1 ASSERTIO HOLDINGS, INC. AMENDED AND RESTATED 2014 OMNIBUS INCENTIVE PLAN 1.                   Plan. Assertio Holdings, Inc., a Delaware corporation (the “Company”), originally established the 2014 Omnibus Incentive Plan (the “Original Plan”), effective as of February 19, 2014 (the “Effective Date”). The Original Plan was most recently amended and restated in its entirety effective May

Assertio Announces the Appointment of Brendan P. O’Grady as New CEO

Exhibit 99.1 Assertio Announces the Appointment of Brendan P. O’Grady as New CEO LAKE FOREST, IL. – May 29, 2024 – Assertio Holdings, Inc. (“Assertio” or the “Company”) (Nasdaq: ASRT), a pharmaceutical company with comprehensive commercial capabilities offering differentiated products to patients, announced today that its Board of Directors has appointed Brendan P. O’Grady, a highly accomplished p

Concerned shareholder of Assertio Holdings, Inc. urges shareholders to reject the Company's director nominees. 240.14a-103 Notice of Exempt Solicitation (Voluntary) U.S. Securities and Exchange Commission, Washington DC 20549

Collaborative Investor Engagement Concerned shareholder of Assertio Holdings, Inc.

U.S. Securities and Exchange Commission Washington, DC 20549 NOTICE OF EXEMPT SOLICITATION

U.S. Securities and Exchange Commission Washington, DC 20549 NOTICE OF EXEMPT SOLICITATION 1. Name of the Registrant: Assertio Holdings, Inc. 2. Name of persons relying on exemption: Buxton Helmsley Group, Inc. 3. Address of persons relying on exemption: 1185 Avenue of the Americas, Floor 3, New York, NY 10036-2600 4. Written materials: The attached written materials are submitted pursuant to Rule

U.S. Securities and Exchange Commission Washington, DC 20549 NOTICE OF EXEMPT SOLICITATION

U.S. Securities and Exchange Commission Washington, DC 20549 NOTICE OF EXEMPT SOLICITATION 1. Name of the Registrant: Assertio Holdings, Inc. 2. Name of persons relying on exemption: Buxton Helmsley Group, Inc. 3. Address of persons relying on exemption: 1185 Avenue of the Americas, Floor 3, New York, NY 10036-2600 4. Written materials: The attached written materials are submitted pursuant to Rule

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED MARCH 31, 2024 ☐ TRANSITION REPORT PURSUANT TO

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED MARCH 31, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO COMMISSION FILE NUMBER 001-39294 ASSERTIO HOLDINGS, IN

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 Form 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): May 6, 2024 ASSERTIO HOLDINGS, IN

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 Form 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): May 6, 2024 ASSERTIO HOLDINGS, INC. (Exact name of registrant as specified in its charter) Delaware 01-39294 85-0598378 (State or Other Jurisdiction of Incorporation) (Commission File

Assertio Reports First Quarter 2024 Financial Results First Quarter Net Product Sales of $31.9 Million Rolvedon Growth Continues, with $14.5 million in Net Product Sales $7.5 Million in Cash Flow from Operations Increases Cash to $80.7 Million

Exhibit 99.1 Assertio Reports First Quarter 2024 Financial Results First Quarter Net Product Sales of $31.9 Million Rolvedon Growth Continues, with $14.5 million in Net Product Sales $7.5 Million in Cash Flow from Operations Increases Cash to $80.7 Million LAKE FOREST, IL. – May 6, 2024 – Assertio Holdings, Inc. (“Assertio” or the “Company”) (Nasdaq: ASRT), a pharmaceutical company with comprehens

April 22, 2024

April 22, 2024 VIA EDGAR AND EMAIL United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.   )

TABLE OF CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.   ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.   )

TABLE OF CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.   ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☒ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 Form 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): March 27, 2024 ASSERTIO HOLDINGS,

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 Form 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): March 27, 2024 ASSERTIO HOLDINGS, INC. (Exact name of registrant as specified in its charter) Delaware 01-39294 85-0598378 (State or Other Jurisdiction of Incorporation) (Commission F

Written Correspondence of Mr. Tyree, dated March 28, 2024

Exhibit 17.1 From: Sent: To: Subject: Jim Tyree Thursday, March 28, 2024 6:44 AM Heather Mason; Heather Mason; Jeff Vacirca; pete Schlessinger; Sravan Emany [EXTERNAL] My decision yesterday Peter, for the record I want to clearly state my decision taken at th e end of our informal Board meeting. That decision is stated in the proceeding paragraph. Notwithstanding the Board's previous request that

Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 Form 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): March 26, 2024 ASSERTIO HOLDINGS, INC. (Exact name of registrant as specified in its charter) Delaware 01-39294 85-0598378 (State or Other Jurisdiction of Incorporation) (Commission F

ASSERTIO HOLDINGS INC. (NASDAQ:ASRT) Q4 2023 EARNINGS CONFERENCE CALL MARCH 11, 2024 4:30 PM ET

Exhibit 99.2 ASSERTIO HOLDINGS INC. (NASDAQ:ASRT) Q4 2023 EARNINGS CONFERENCE CALL MARCH 11, 2024 4:30 PM ET Company Participants · Matthew Kreps - Darrow Associates, IR · Heather Mason - Interim CEO · Ajay Patel - CFO · Paul Schwichtenberg - Chief Commercial Officer Conference Call Participants · Thomas Flaten - Lake Street Capital Markets · Jim Sidoti - Sidoti & Company PRESENTATION Operator Tha

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 Form 8-K/A CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): March 8, 2024 ASSERTIO HOLDINGS

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 Form 8-K/A CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): March 8, 2024 ASSERTIO HOLDINGS, INC. (Exact name of registrant as specified in its charter) Delaware 001-39294 85-0598378 (State or Other Jurisdiction of Incorporation) (Commission

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 Form 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): March 8, 2024 ASSERTIO HOLDINGS,

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 Form 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): March 8, 2024 ASSERTIO HOLDINGS, INC. (Exact name of registrant as specified in its charter) Delaware 001-39294 85-0598378 (State or Other Jurisdiction of Incorporation) (Commission F

Amended and Restated Annual Bonus Plan

Exhibit 10.7 ASSERTIO HOLDINGS, INC. AMENDED AND RESTATED ANNUAL BONUS PLAN (as adopted by the Board of Directors on February 7, 2024) Assertio Holdings, Inc. (“Assertio” or the “Company) has established an Annual Bonus Plan (the “Bonus Plan”) that is designed to align employee performance with annual corporate goals and to reward the achievement of corporate and personal goals during the plan yea

Letter agreement, dated as of February 1, 2024, between Spectrum and Hanmi Pharmaceuticals Co., Ltd.

Exhibit 10.23 CERTAIN MATERIAL (INDICATED BY [***]) HAS BEEN OMITTED FROM THIS DOCUMENT BECAUSE IT IS BOTH (I) NOT MATERIAL AND (II) WOULD BE COMPETITIVELY HARMFUL IF PUBLICLY DISCLOSED. February 1, 2024 Hanmi Pharmaceutical Co., Ltd. 14, Wiryeseong-daero, Songpa-gu Seoul, 05545, Korea Attn: [***] Re: Letter of Binding Understanding: Supply of Rolvedon Drug Substance Ladies and Gentlemen: We refer

Form of Senior Indenture

Exhibit 4.1 ASSERTIO HOLDINGS, INC. Debt Securities Indenture Dated as of [ ] [ ]., as Trustee CROSS-REFERENCE TABLE This Cross-Reference Table is not a part of the Indenture TIA Section Indenture Section 310(a)(1) 7.10 (a)(2) 7.10 (a)(3) N.A. (a)(4) N.A. (b) 7.08; 7.10; 12.02 311(a) 7.11 (b) 7.11 (c) N.A. 312(a) 2.05 (b) 12.03 (c) 12.03 313(a) 7.06 (b)(1) N.A. (b)(2) 7.06 (c) 12.02 (d) 7.06 314(a

List of Subsidiaries

Exhibit 21.1 SUBSIDIARIES OF THE REGISTRANT Name of Subsidiary State of Jurisdiction or Organization Assertio Therapeutics, Inc. Delaware Depo DR Sub, LLC Delaware Depo NF Sub, LLC Delaware Assertio Management, LLC Delaware Assertio Distribution, LLC Delaware Alligator IP, LLC Delaware Zyla Life Sciences, LLC Delaware Zyla Life Sciences US, LLC Delaware Otter Pharmaceuticals, LLC Delaware Spectrum

As filed with the Securities and Exchange Commission on March 11, 2024

TABLE OF CONTENTS As filed with the Securities and Exchange Commission on March 11, 2024 Registration Statement No.

Assertio Holdings, Inc. Executive Compensation Clawback Policy

Exhibit 97.1 Assertio Holdings, Inc. Executive Compensation Clawback Policy (October 2, 2023) This Executive Compensation Clawback Policy (this “Policy”) has been adopted by the Board of Directors (the “Board”) of Assertio Holdings, Inc. (the “Company”) effective October 2, 2023 (the “Effective Date”) and replaces in its entirety the Company’s Executive Compensation Clawback Policy dated May 20, 2

Assertio Reports Fourth Quarter and Full Year 2023 Financial Results Fourth Quarter Net Product Sales $32.5 Million, Cash Flow from Operations of $5.7 Million 2024 Full Year Outlook for Net Product Sales of $110 to $125 Million, Adjusted EBITDA of $2

Exhibit 99.1 Assertio Reports Fourth Quarter and Full Year 2023 Financial Results Fourth Quarter Net Product Sales $32.5 Million, Cash Flow from Operations of $5.7 Million 2024 Full Year Outlook for Net Product Sales of $110 to $125 Million, Adjusted EBITDA of $20 to $30 Million LAKE FOREST, IL. – March 11, 2024 – Assertio Holdings, Inc. (“Assertio” or the “Company”) (Nasdaq: ASRT), a pharmaceutic

Filing Fee Table

Exhibit 107 Calculation of Filing Fee Tables Form S-3 (Form Type) Assertio Holdings, Inc.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE FISCAL YEAR ENDED DECEMBER 31, 2023 ☐ TRANSITION REPORT PURSUANT TO SECTI

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE FISCAL YEAR ENDED DECEMBER 31, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO Commission File Number: 001-39294 ASSERTIO HOLDINGS, INC. (

Third Amendment to Supply Agreement, dated as of April 12, 2023, by and between Spectrum and Hanmi Pharmaceuticals Co., Ltd.

Exhibit 10.22 CERTAIN MATERIAL (INDICATED BY [***]) HAS BEEN OMITTED FROM THIS DOCUMENT BECAUSE IT IS BOTH (I) NOT MATERIAL AND (II) WOULD BE COMPETITIVELY HARMFUL IF PUBLICLY DISCLOSED. THIRD AMENDMENT TO SUPPLY AGREEMENT - ROLONTIS This THIRD AMENDMENT TO SUPPLY AGREEMENT - ROLONTIS (this “Third Amendment”) is made and effective April 12, 2023 (the “Third Amendment Effective Date”) by and betwee

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 Form 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): February 21, 2024 ASSERTIO HOLDIN

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 Form 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): February 21, 2024 ASSERTIO HOLDINGS, INC. (Exact name of registrant as specified in its charter) Delaware 01-39294 85-0598378 (State or Other Jurisdiction of Incorporation) (Commissio

ASRT / Assertio Holdings, Inc. / ARMISTICE CAPITAL, LLC Passive Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No.

ASRT / Assertio Holdings, Inc. / Nantahala Capital Management, LLC - SC 13G Passive Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* ASSERTIO HOLDINGS, INC. (Name of Issuer) Common Stock, $0.0001 par value (Title of Class of Securities) 04546C205 (CUSIP Number) December 31, 2023 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule purs

ASRT / Assertio Holdings, Inc. / CONTINENTAL GENERAL INSURANCE CO - AMENDMENT NO. 1 TO THE SCHEDULE 13G Passive Investment

SC 13G/A 1 sc13ga11310800902142024.htm AMENDMENT NO. 1 TO THE SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (Amendment No. 1)1 Assertio Holdings, Inc. (Name of Issuer) Common Stock, $0.0001

ASRT / Assertio Holdings, Inc. / VANGUARD GROUP INC - SCHEDULE 13G Passive Investment

SC 13G 1 tv0346-assertioholdingsinc.htm SCHEDULE 13G SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 Name of issuer: Assertio Holdings Inc Title of Class of Securities: Common Stock CUSIP Number: 04546C205 Date of Event Which Requires Filing of this Statement: December 29, 2023 Check the appropriate box to designate the rule pursuant

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 Form 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): January 24, 2024 ASSERTIO HOLDINGS, INC. (Exact name of registrant as specified in its charter) Delaware 01-39294 85-0598378 (State or Other Jurisdiction of Incorporation) (Commission

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 Form 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): January 2, 2024 ASSERTIO HOLDINGS

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 Form 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): January 2, 2024 ASSERTIO HOLDINGS, INC. (Exact name of registrant as specified in its charter) Delaware 001-39294 85-0598378 (State or Other Jurisdiction of Incorporation) (Commission

Offer Letter, dated as of January 2, 2024, between the Company and Heather L. Mason (incorporated by reference to Exhibit 10.1 to the Company's Current Report on Form 8-K filed on January 5, 2024)

Exhibit 10.1 January 2, 2024 Heather Mason Dear Heather: Thank you for agreeing to serve as the interim Chief Executive Officer (“Interim CEO”) of Assertio Holdings, Inc. (the “Company”) reporting to the Board of Directors of the Company (the “Board”). This letter agreement sets forth the key terms and conditions for your service as Interim CEO. 1.            Term. You will serve as Interim CEO co

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 November 10, 2023 Date of Report (Date of earliest event reported) ASSERTIO HOLDING

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 November 10, 2023 Date of Report (Date of earliest event reported) ASSERTIO HOLDINGS, INC. (Exact name of registrant as specified in its charter) Delaware 001-39294 85-0598378 (State or Other Jurisdiction of Incorporation) (Commissio

Assertio Reports Third Quarter 2023 Financial Results Closed Spectrum Acquisition on July 31, 2023, which diversifies and extends portfolio duration Cash balance at September 30, 2023 of $76.9 million Announces Management Updates

Exhibit 99.1 Assertio Reports Third Quarter 2023 Financial Results Closed Spectrum Acquisition on July 31, 2023, which diversifies and extends portfolio duration Cash balance at September 30, 2023 of $76.9 million Announces Management Updates LAKE FOREST, IL. – November 8, 2023 – Assertio Holdings, Inc. (“Assertio” or the “Company”) (Nasdaq: ASRT), a specialty pharmaceutical company that acquires,

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 Form 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): November 8, 2023 ASSERTIO HOLDINGS, INC. (Exact name of registrant as specified in its charter) Delaware 01-39294 85-0598378 (State or Other Jurisdiction of Incorporation) (Commission

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED SEPTEMBER 30, 2023 ☐ TRANSITION REPORT PURSUANT

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED SEPTEMBER 30, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO COMMISSION FILE NUMBER 001-39294 ASSERTIO HOLDINGS

Contingent Value Rights Agreement, dated as of July 31, 2023, entered into by and between the Company and Computershare Inc. and its affiliate Computershare Trust Company, N.A., collectively, as Rights Agent. (incorporated by reference to Exhibit 10.1 to the Company’s Quarterly Report on Form 10-Q filed on November 8, 2023)

Exhibit 10.1 CONTINGENT VALUE RIGHTS AGREEMENT THIS CONTINGENT VALUE RIGHTS AGREEMENT, dated as of July 31, 2023, (this “Agreement”), is entered into by and between Assertio Holdings, Inc., a Delaware corporation (“Parent”), and Computershare Inc., a Delaware corporation (“Computershare”), and its affiliate, Computershare Trust Company, N.A., a federally chartered trust company, collectively as Ri

Financial Statements and Exhibits, Completion of Acquisition or Disposition of Assets

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A (Amendment No. 1) CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 July 27, 2023 Date of Report (Date of earliest event reported) ASSERTIO HOLDINGS, INC. (Exact name of registrant as specified in its charter) Delaware 001-39294 85-0598378 (State or Other Jurisdiction of Incorpora

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED JUNE 30, 2023 ☐ TRANSITION REPORT PURSUANT TO S

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED JUNE 30, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO COMMISSION FILE NUMBER 001-39294 ASSERTIO HOLDINGS, INC

Amended and Restated Bylaws, dated November 2, 2022, as amended on June 12, 2023

Exhibit 3.1 BYLAWS OF ASSERTIO HOLDINGS, INC. (a Delaware corporation) Article I CORPORATE OFFICES Section 1.1Registered Office. The registered office of Assertio Holdings, Inc., a Delaware corporation (the “Corporation”) shall be fixed in the Certificate of Incorporation of the Corporation (as the same may be amended and/or restated from time to time, the “Certificate of Incorporation”). Section

Assertio Reports Second Quarter 2023 Financial Results, Closes Spectrum Acquisition Second Quarter Net Product Sales Increase 13% Year-Over-Year, Generates $18.6 Million in Cash Flow from Operations Acquisition Expected to be Significantly Accretive

Exhibit 99.1 Assertio Reports Second Quarter 2023 Financial Results, Closes Spectrum Acquisition Second Quarter Net Product Sales Increase 13% Year-Over-Year, Generates $18.6 Million in Cash Flow from Operations Acquisition Expected to be Significantly Accretive to Adjusted EPS in 2024 LAKE FOREST, IL. – August 3, 2023 – Assertio Holdings, Inc. (“Assertio” or the “Company”) (Nasdaq: ASRT), a speci

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 Form 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): August 3, 2023 ASSERTIO HOLDINGS,

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 Form 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): August 3, 2023 ASSERTIO HOLDINGS, INC. (Exact name of registrant as specified in its charter) Delaware 01-39294 85-0598378 (State or Other Jurisdiction of Incorporation) (Commission F

Assertio Holdings, Inc Announces Favorable Vote on Proposed Acquisition of Spectrum Pharmaceuticals Stockholders From Both Assertio and Spectrum Have Overwhelmingly Voted in Support of the Transaction Transaction Expected to be Significantly Accretiv

Exhibit 99.1 Assertio Holdings, Inc Announces Favorable Vote on Proposed Acquisition of Spectrum Pharmaceuticals Stockholders From Both Assertio and Spectrum Have Overwhelmingly Voted in Support of the Transaction Transaction Expected to be Significantly Accretive to Assertio in 2024 LAKE FOREST, Ill., and BOSTON - July 27, 2023 (GLOBE NEWSWIRE) - Assertio Holdings, Inc. (“Assertio” or the “Compan

Assertio Holdings, Inc. Closes Spectrum Pharmaceuticals Transaction Combination of Assertio’s Omni-Channel Digital Sales Capabilities and ROLVEDON In-Person Commercial Team to Enhance Market Access and Growth Across All Products Transaction Expected

Exhibit 99.2 Assertio Holdings, Inc. Closes Spectrum Pharmaceuticals Transaction Combination of Assertio’s Omni-Channel Digital Sales Capabilities and ROLVEDON In-Person Commercial Team to Enhance Market Access and Growth Across All Products Transaction Expected to be Significantly Accretive to Assertio in 2024 LAKE FOREST, Ill., July 31, 2023 (GLOBE NEWSWIRE) - Assertio Holdings, Inc. (“Assertio”

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 July 27, 2023 Date of Report (Date of earliest event reported) ASSERTIO HOLDINGS, I

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 July 27, 2023 Date of Report (Date of earliest event reported) ASSERTIO HOLDINGS, INC. (Exact name of registrant as specified in its charter) Delaware 001-39294 85-0598378 (State or Other Jurisdiction of Incorporation) (Commission Fi

MERGER PROPOSAL — YOUR VOTE IS VERY IMPORTANT

TABLE OF CONTENTS   Filed Pursuant to 424(b)(3)   Registration No. 333-272355 MERGER PROPOSAL — YOUR VOTE IS VERY IMPORTANT Dear Assertio Holdings, Inc. Stockholders and Spectrum Pharmaceuticals, Inc. Stockholders: On April 24, 2023, Assertio Holdings, Inc., which is referred to as “Assertio,” Spade Merger Sub 1, Inc., a wholly owned subsidiary of Assertio, which is referred to as “Merger Sub” and

Form of Proxy Card for Special Meeting of Spectrum Pharmaceuticals, Inc.

Exhibit 99.5 1UPX Using a black ink pen, mark your votes with an X as shown in this example. Please do not write outside the designated areas. 03UEUC + + A Proposals — The Board of Directors recommends a vote FOR Proposals 1, 2 and 3. 1. ADOPTION OF THE MERGER AGREEMENT, i.e., to adopt the Agreement and Plan of Merger (as it may be amended from time to time, the “Merger Agreement”), a copy of whic

Form of Proxy Card for Special Meeting of Assertio Holdings, Inc.

Exhibit 99.4 2. To approve the adjournment of the special meeting, if necessary or appropriate, to solicit additional proxies if there are insufficient votes at the time of the special meeting to approve the Assertio share issuance proposal or to ensure that any supplement or amendment to the accompanying joint proxy statement/prospectus is timely provided to Assertio stockholders. 1. To approve t

Amendment to the Amended and Restated Bylaws of Assertio Holdings, Inc., dated June 12, 2023.

Exhibit 3.1 AMENDMENT TO THE Amended and Restated Bylaws of Assertio holdings, INC. Adopted and Approved by the Board of Directors on June 12, 2023 1. Quorum. The first sentence of Article II, Section 2.6 of the Assertio Holdings, Inc. (the “Company”) Amended and Restated Bylaws (the “Bylaws”) is hereby amended and restated in its entirety to read as follows: “Except as otherwise required by law,

Consent of H.C. Wainwright & Co., LLC

Exhibit 99.2 CONSENT OF H.C. WAINWRIGHT & CO., LLC June 14, 2023 Assertio Holdings, Inc. 100 South Sanders Rd., Suite 300 Lake Forest, IL 60045 Re: Registration Statement on Form S-4 of Assertio Holdings, Inc., filed June 1, 2023 (the “Registration Statement”) Ladies and Gentlemen: Reference is made to our opinion letter, dated April 24, 2023 (“Opinion Letter”), with respect to the fairness from a

As filed with the U.S. Securities and Exchange Commission on June 14, 2023

TABLE OF CONTENTS As filed with the U.S. Securities and Exchange Commission on June 14, 2023 Registration No. 333-272355 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Amendment No. 1 to FORM S-4 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Assertio Holdings, Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware (State of Incorporation) 2834 (Prim

Consent of Guggenheim Securities, LLC

Exhibit 99.3 Guggenheim Securities, LLC 330 Madison Avenue New York, New York 10017 GuggenheimPartners.com June 14, 2023 The Board of Directors Spectrum Pharmaceuticals, Inc. Pilot House – Lewis Wharf, 2 Atlantic Avenue, 6th Floor Boston, MA 02110 Re: Consent for Fairness Opinion Disclosure Members of the Board: Guggenheim Securities, LLC (“Guggenheim Securities”) hereby consents to (i) the inclus

Consent of SVB Securities LLC

Exhibit 99.1 CONSENT OF SVB SECURITIES LLC We hereby consent to the use of our opinion letter dated April 24, 2023 to the Board of Directors of Assertio Holdings, Inc., included as Annex C to the proxy statement/prospectus which forms a part of the Registration Statement on Form S-4 of Assertio Holdings, Inc., to be filed on the date hereof, and to the references to such opinion in such proxy stat

Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 June 12, 2023 Date of Report (Date of earliest event reported) ASSERTIO HOLDINGS, INC. (Exact name of registrant as specified in its charter) Delaware 001-39294 85-0598378 (State or Other Jurisdiction of Incorporation) (Commission Fi

June 13, 2023

June 13, 2023 VIA EDGAR United States Securities and Exchange Commission Division of Corporation Finance Office of Life Sciences 100 F Street, N.

Form of Proxy Card for Special Meeting of Spectrum Pharmaceuticals, Inc.

Exhibit 99.5 [PRELIMINARY COPY SUBJECT TO COMPLETION] IF VOTING BY MAIL, SIGN, DETACH AND RETURN THE BOTTOM PORTION IN THE ENCLOSED ENVELOPE PROXY –SPECTRUM PHARMACEUTICALS, INC. SPECIAL MEETING OF STOCKHOLDERS [DATE, TIME] This proxy is solicited by the Board of Directors The undersigned, a stockholder of SPECTRUM PHARMACEUTICALS, INC., a Delaware corporation, hereby acknowledges receipt of the N

Form of Proxy Card for Special Meeting of Assertio Holdings, Inc.

Exhibit 99.4 YOUR VOTE IS IMPORTANT. PLEASE VOTE TODAY. Vote by Internet or Telephone - QUICK EASY IMMEDIATE - 24 Hours a Day, 7 Days a Week or by Mail Your phone or Internet vote authorizes the named proxies to vote your shares in the same manner as if you marked, signed and returned your proxy card. Votes submitted electronically over the Internet or by telephone must be received by 11:59 p.m.,

Consent of SVB Securities LLC

Exhibit 99.1 CONSENT OF SVB SECURITIES LLC We hereby consent to the use of our opinion letter dated April 24, 2023 to the Board of Directors of Assertio Holdings, Inc., included as Annex C to the proxy statement/prospectus which forms a part of the Registration Statement on Form S-4 of Assertio Holdings, Inc., to be filed on the date hereof, and to the references to such opinion in such proxy stat

Consent of Guggenheim Securities, LLC

Exhibit 99.3 Guggenheim Securities, LLC 330 Madison Avenue New York, New York 10017 GuggenheimPartners.com June 1, 2023 The Board of Directors Spectrum Pharmaceuticals, Inc. Pilot House – Lewis Wharf, 2 Atlantic Avenue, 6th Floor Boston, MA 02110 Re: Consent for Fairness Opinion Disclosure Members of the Board: Guggenheim Securities, LLC (“Guggenheim Securities”) hereby consents to (i) the inclusi

Calculation of Filing Fee Table

Exhibit 107 Calculation of Filing Fee Tables Form S-4 (Form Type) Assertio Holdings, Inc.

Consent of H.C. Wainwright & Co., LLC

Exhibit 99.2 CONSENT OF H.C. WAINWRIGHT & CO., LLC June 1, 2023 Assertio Holdings, Inc. 100 South Sanders Rd., Suite 300 Lake Forest, IL 60045 Re: Registration Statement on Form S-4 of Assertio Holdings, Inc., filed June 1, 2023 (the “Registration Statement”) Ladies and Gentlemen: Reference is made to our opinion letter, dated April 24, 2023 (“Opinion Letter”), with respect to the fairness from a

Power of Attorney

TABLE OF CONTENTS As filed with the U.S. Securities and Exchange Commission on June 1, 2023 Registration No. 333-        UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-4 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Assertio Holdings, Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware (State of Incorporation) 2834 (Primary Standard Indust

As filed with the Securities and Exchange Commission on May 15, 2023

As filed with the Securities and Exchange Commission on May 15, 2023 Registration No.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) May 10, 2023 ASSERTIO HOLDINGS, IN

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) May 10, 2023 ASSERTIO HOLDINGS, INC. (Exact name of registrant as specified in its charter) Delaware 001-39294 85-0598378 (State or other jurisdiction of incorporation) (Commission Fil

Filing Fee Table.

Exhibit 107.1 Calculation of Filing Fee Tables FORM S-8 (Form Type) ASSERTIO HOLDINGS, INC. (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered Securities Security Type Security Class Title (1) Fee Calculation Rule Amount Registered (1) Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Equity Common stock, par

Amended and Restated 2014 Omnibus Incentive Plan (incorporated by reference to Exhibit 10.1 to the Company’s Current Report on Form 8-K filed on May 15, 2023)

Exhibit 10.1 ASSERTIO HOLDINGS, INC. AMENDED AND RESTATED 2014 OMNIBUS INCENTIVE PLAN 1.       Plan. Assertio Holdings, Inc., a Delaware corporation (the “Company”), originally established the 2014 Omnibus Incentive Plan (the “Original Plan”), effective as of February 19, 2014 (the “Effective Date”). The Original Plan was most recently amended and restated in its entirety effective May 4, 2022 in

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED MARCH 31, 2023 ☐ TRANSITION REPORT PURSUANT TO

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED MARCH 31, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO COMMISSION FILE NUMBER 001-39294 ASSERTIO HOLDINGS, IN

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 Form 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): May 9, 2023 ASSERTIO HOLDINGS, INC. (Exact name of registrant as specified in its charter) Delaware 01-39294 85-0598378 (State or Other Jurisdiction of Incorporation) (Commission File

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 Form 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): May 9, 2023 ASSERTIO HOLDINGS, IN

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 Form 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): May 9, 2023 ASSERTIO HOLDINGS, INC. (Exact name of registrant as specified in its charter) Delaware 01-39294 85-0598378 (State or Other Jurisdiction of Incorporation) (Commission File

Assertio Reports First Quarter 2023 Financial Results, Raises Full Year 2023 Outlook Net Product Sales Increase 18% Year-Over-Year Raises Full Year Outlook to Net Product Sales of $157 to $167 Million, Adjusted EBITDA $90 to $98 Million To Acquire Sp

Exhibit 99.1 Assertio Reports First Quarter 2023 Financial Results, Raises Full Year 2023 Outlook Net Product Sales Increase 18% Year-Over-Year Raises Full Year Outlook to Net Product Sales of $157 to $167 Million, Adjusted EBITDA $90 to $98 Million To Acquire Spectrum Pharmaceuticals in All Stock and CVR Transaction, Expected to be Significantly Accretive to Adjusted EPS and Operating Cash Flow i

Assertio Reports First Quarter 2023 Financial Results, Raises Full Year 2023 Outlook Net Product Sales Increase 18% Year-Over-Year Raises Full Year Outlook to Net Product Sales of $157 to $167 Million, Adjusted EBITDA $90 to $98 Million To Acquire Sp

Exhibit 99.1 Assertio Reports First Quarter 2023 Financial Results, Raises Full Year 2023 Outlook Net Product Sales Increase 18% Year-Over-Year Raises Full Year Outlook to Net Product Sales of $157 to $167 Million, Adjusted EBITDA $90 to $98 Million To Acquire Spectrum Pharmaceuticals in All Stock and CVR Transaction, Expected to be Significantly Accretive to Adjusted EPS and Operating Cash Flow i

Filed by Assertio Holdings, Inc.

Filed by Assertio Holdings, Inc. (Commission File No.: 001-39294) Pursuant to Rule 425 of the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Subject Company: Assertio Holdings, Inc. (Commission File No.: 001-39294) 05 - 09 - 2023 Assertio Holdings First Quarter 2023 Results Call CORPORATE SPEAKERS: Daniel Peisert Assertio Holdings, Inc.; P

ASRT / Assertio Holdings Inc / CONTINENTAL GENERAL INSURANCE CO Passive Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (Amendment No. )1 Assertio Holdings, Inc. (Name of Issuer) Common Stock, $0.0001 par value (Title of Class of Securities) 04546C205 (CUSIP Number) April 25,

JOINT FILING AGREEMENT

Exhibit 99.1 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k)(1)(iii) under the Securities Exchange Act of 1934, as amended, the persons named below agree to the joint filing on behalf of each of them of a Statement on Schedule 13G dated May 5, 2023 (including amendments thereto) with respect to the shares of Common Stock, $0.0001 par value, of Assertio Holdings, Inc., and any further amend

Assertio Holdings, Inc. to Acquire Spectrum Pharmaceuticals, Inc. in All Stock and CVR Transaction Complementary Commercial Growth Platforms Anticipated to Accelerate ROLVEDON™ (eflapegrastim-xnst) Injection Profitability and Diversify Revenue Stream

Exhibit 99.1 Assertio Holdings, Inc. to Acquire Spectrum Pharmaceuticals, Inc. in All Stock and CVR Transaction Complementary Commercial Growth Platforms Anticipated to Accelerate ROLVEDON™ (eflapegrastim-xnst) Injection Profitability and Diversify Revenue Streams Combination of Assertio’s Omni-Channel Digital Sales Capabilities and ROLVEDON In-Person Commercial Team to Enhance Market Access and G

Assertio Holdings and Spectrum Pharmaceuticals Transaction April 25, 2023

Exhibit 99.1 Assertio Holdings and Spectrum Pharmaceuticals Transaction April 25, 2023 Corporate Speakers · Matt Kreps; Darrow Associates Investor Relations; Managing Director · Dan Peisert; Assertio Holdings, Inc.; President and Chief Executive Officer · Tom Riga; Spectrum Pharmaceuticals, Inc.; President and Chief Executive Officer Participants · Thomas Flaten; Lake Street; Analyst · Ed White; H

Assertio Holdings and Spectrum Pharmaceuticals Transaction April 25, 2023

Exhibit 99.1 Assertio Holdings and Spectrum Pharmaceuticals Transaction April 25, 2023 Corporate Speakers · Matt Kreps; Darrow Associates Investor Relations; Managing Director · Dan Peisert; Assertio Holdings, Inc.; President and Chief Executive Officer · Tom Riga; Spectrum Pharmaceuticals, Inc.; President and Chief Executive Officer Participants · Thomas Flaten; Lake Street; Analyst · Ed White; H

Assertio Holdings, Inc. to Acquire Spectrum Pharmaceuticals, Inc. in All Stock and CVR Transaction Complementary Commercial Growth Platforms Anticipated to Accelerate ROLVEDON™ (eflapegrastim-xnst) Injection Profitability and Diversify Revenue Stream

Exhibit 99.1 Assertio Holdings, Inc. to Acquire Spectrum Pharmaceuticals, Inc. in All Stock and CVR Transaction Complementary Commercial Growth Platforms Anticipated to Accelerate ROLVEDON™ (eflapegrastim-xnst) Injection Profitability and Diversify Revenue Streams Combination of Assertio’s Omni-Channel Digital Sales Capabilities and ROLVEDON In-Person Commercial Team to Enhance Market Access and G

Agreement and Plan of Merger, dated April 24, 2023, among the Company, Spade Merger Sub 1, Inc. and Spectrum Pharmaceuticals, Inc. (incorporated by reference to Exhibit 2.1 to the Company’s Form 8-K filed on April 25, 2023)

Exhibit 2.1 AGREEMENT AND PLAN OF MERGER among ASSERTIO HOLDINGS, INC. SPADE MERGER SUB 1, INC. and SPECTRUM PHARMACEUTICALS, INC. Dated as of April 24, 2023 TABLE OF CONTENTS Page Article I THE Merger 2 Section 1.1 The Merger 2 Section 1.2 Closing; Effective Time 2 Section 1.3 Effects of the Merger 3 Section 1.4 Certificate of Incorporation and Bylaws 3 Section 1.5 Directors; Officers 3 Section 1

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 April 25, 2023 Date of Report (Date of earliest event reported) ASSERTIO HOLDINGS,

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 April 25, 2023 Date of Report (Date of earliest event reported) ASSERTIO HOLDINGS, INC. (Exact name of registrant as specified in its charter) Delaware 001-39294 85-0598378 (State or Other Jurisdiction of Incorporation) (Commission F

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 April 25, 2023 Date of Report (Date of earliest event reported) ASSERTIO HOLDINGS,

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 April 25, 2023 Date of Report (Date of earliest event reported) ASSERTIO HOLDINGS, INC. (Exact name of registrant as specified in its charter) Delaware 001-39294 85-0598378 (State or Other Jurisdiction of Incorporation) (Commission F

Agreement and Plan of Merger, dated April 24, 2023, by and among Assertio Holdings, Inc., Spade Merger Sub 1, Inc. and Spectrum Pharmaceuticals, Inc. (Form of CVR Agreement included as Exhibit B thereto)*

Exhibit 2.1 AGREEMENT AND PLAN OF MERGER among ASSERTIO HOLDINGS, INC. SPADE MERGER SUB 1, INC. and SPECTRUM PHARMACEUTICALS, INC. Dated as of April 24, 2023 TABLE OF CONTENTS Page Article I THE Merger 2 Section 1.1 The Merger 2 Section 1.2 Closing; Effective Time 2 Section 1.3 Effects of the Merger 3 Section 1.4 Certificate of Incorporation and Bylaws 3 Section 1.5 Directors; Officers 3 Section 1

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 April 24, 2023 Date of Report (Date of earliest event reported) ASSERTIO HOLDINGS,

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 April 24, 2023 Date of Report (Date of earliest event reported) ASSERTIO HOLDINGS, INC. (Exact name of registrant as specified in its charter) Delaware 001-39294 85-0598378 (State or Other Jurisdiction of Incorporation) (Commission F

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 April 24, 2023 Date of Report (Date of earliest event reported) ASSERTIO HOLDINGS,

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 April 24, 2023 Date of Report (Date of earliest event reported) ASSERTIO HOLDINGS, INC. (Exact name of registrant as specified in its charter) Delaware 001-39294 85-0598378 (State or Other Jurisdiction of Incorporation) (Commission F

Assertio’s Definitive Proxy Statement on Schedule 14A, filed with the SEC on April 3, 2023;

TABLE OF CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.      ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Ru

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.      )

TABLE OF CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.      ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☒ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Ru

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) March 10, 2023 ASSERTIO HOLDINGS,

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) March 10, 2023 ASSERTIO HOLDINGS, INC. (Exact name of registrant as specified in its charter) Delaware 001-39294 85-0598378 (State or other jurisdiction of incorporation) (Commission F

Assertio Reports Fourth Quarter and Full Year 2022 Financial Results Net Product Sales Increase 55% in the Fourth Quarter, 42% for the Full Year Full Year Net Income Increases to $109.6 Million, Non-GAAP Adjusted EBITDA Increases to $101.6 Million Ca

Exhibit 99.1 Assertio Reports Fourth Quarter and Full Year 2022 Financial Results Net Product Sales Increase 55% in the Fourth Quarter, 42% for the Full Year Full Year Net Income Increases to $109.6 Million, Non-GAAP Adjusted EBITDA Increases to $101.6 Million Cash Flows from Operations Was $26.7 Million for the Fourth Quarter and $78.6 Million for the Full Year LAKE FOREST, IL. – March 8, 2023 –

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 Form 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): March 8, 2023 ASSERTIO HOLDINGS,

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 Form 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): March 8, 2023 ASSERTIO HOLDINGS, INC. (Exact name of registrant as specified in its charter) Delaware 001-39294 85-0598378 (State or Other Jurisdiction of Incorporation) (Commission F

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE FISCAL YEAR ENDED DECEMBER 31, 2022 ☐ TRANSITION REPORT PURSUANT TO SECTI

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE FISCAL YEAR ENDED DECEMBER 31, 2022 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO Commission File Number: 001-39294 ASSERTIO HOLDINGS, INC. (

Form of Equity Award Documents for Inducement Grants (incorporated by reference to Exhibit 10.6 to the Company’s Annual Report on Form 10-K filed on March 8, 2023)

Exhibit 10.6 ASSERTIO HOLDINGS, INC. NOTICE OF RESTRICTED STOCK UNIT GRANT AND AWARD AGREEMENT (Inducement Award) This Award (as defined below) is an inducement material to the Participant’s entry into employment within the meaning of Nasdaq Listing Rule 5635(c)(4). This Award is granted outside of the Assertio Holdings, Inc. Amended and Restated 2014 Omnibus Incentive Plan, as amended (the “Plan”

List of Subsidiaries

Exhibit 21.1 SUBSIDIARIES OF THE REGISTRANT Name of Subsidiary State of Jurisdiction or Organization Assertio Therapeutics, Inc. Delaware Depo DR Sub, LLC Delaware Depo NF Sub, LLC Delaware Assertio Management, LLC Delaware Assertio Distribution, LLC Delaware Alligator IP, LLC Delaware Zyla Life Sciences, LLC Delaware Zyla Life Sciences US, LLC Delaware Otter Pharmaceuticals, LLC Delaware

Form of Equity Award Documents under Amended and Restated 2014 Omnibus Incentive Plan (incorporated by reference to Exhibit 10.5 to the Company’s Annual Report on Form 10-K filed on March 8, 2023)

Exhibit 10.5 ASSERTIO HOLDINGS, INC. AMENDED AND RESTATED 2014 OMNIBUS INCENTIVE PLAN NOTICE OF GRANT OF STOCK OPTION AWARD Participant: [] Address: [] RE: Grant of Stock Option Section A Grant Number: [] Grant Date: , 20 Type of Grant [] Option Shares: [] Purchase Price Per Share: [] Vesting Base Date: , 20 Expiration Date: , 20 Section B Shares Vested Vesting Date [] , 20 [] , 20 [] , 20 [Note t

Code of Conduct

Exhibit 14.1 Letter from the CEO Assertio’s Mission Statement includes a commitment to developing and commercializing innovative pharmaceutical products that benefit patients. Doing what is best for patients requires that members of the Assertio team model our core value of Integrity by conducting our business ethically and in compliance with applicable laws and regulations. As you know, our busin

Amended and Restated Annual Bonus Plan

Exhibit 10.7 ASSERTIO HOLDINGS, INC. AMENDED AND RESTATED ANNUAL BONUS PLAN (as adopted by the Board of Directors on February 13, 2023) Assertio Holdings, Inc. (“Assertio” or the “Company) has established an Annual Bonus Plan (the “Bonus Plan”) that is designed to align employee performance with annual corporate goals and to reward the achievement of corporate and personal goals during the plan ye

Non‑Employee Director Compensation and Grant Policy

Exhibit 10.8 ASSERTIO HOLDINGS, INC. NONEMPLOYEE DIRECTOR COMPENSATION AND GRANT POLICY 1. Annual Cash Retainer. All nonemployee directors of the Company receive an annual cash retainer of $55,000. 2. Additional Retainer — Chairman of the Board. A non-employee chairman of the Board of Directors receives an additional annual cash retainer of $50,000. 3. Additional Retainer — Audit Committee. The ch

Assertio Announces Exchange Offer of $30 Million of its Currently Outstanding 6.50% Convertible Senior Notes Due 2027

Exhibit 99.1 Assertio Announces Exchange Offer of $30 Million of its Currently Outstanding 6.50% Convertible Senior Notes Due 2027 Lake Forest, Illinois, February 23, 2023 — Assertio Holdings, Inc. (“Assertio”) (NASDAQ: ASRT), a specialty pharmaceutical company offering differentiated products to patients, today announced it has entered into separate, privately negotiated exchange agreements (the

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) February 23, 2023 ASSERTIO HOLDING

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) February 23, 2023 ASSERTIO HOLDINGS, INC. (Exact name of registrant as specified in its charter) Delaware 001-39294 85-0598378 (State or other jurisdiction of incorporation) (Commissio

Form of Convertible Notes Exchange Agreement (incorporated by reference to Exhibit 10.1 to the Company’s Current Report on Form 8-K filed on February 23, 2023)

Exhibit 10.1 ASSERTIO HOLDINGS, INC. FORM OF CONVERTIBLE NOTES EXCHANGE AGREEMENT February 22, 2023 (the “Undersigned”), for itself and on behalf of the beneficial owners listed on Exhibit A hereto (“Accounts”) for whom the Undersigned holds contractual and investment authority (each Account, as well as the Undersigned if it is exchanging Outstanding Notes (as defined below) hereunder, a “Holder”)

Assertio Holdings, Inc. Announces Preliminary Fourth Quarter and Full Year 2022 Results Year-over-Year Net Product Sales Increased at Least 54% for the Fourth Quarter and 41% for the Full Year Cash Flows from Operations Was at Least $26 Million for t

Exhibit 99.1 Assertio Holdings, Inc. Announces Preliminary Fourth Quarter and Full Year 2022 Results Year-over-Year Net Product Sales Increased at Least 54% for the Fourth Quarter and 41% for the Full Year Cash Flows from Operations Was at Least $26 Million for the Fourth Quarter and $78 Million for the Full Year To Report Fourth Quarter and Audited Full Year 2022 Financial Results on Wednesday, M

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) February 21, 2023 ASSERTIO HOLDINGS, INC. (Exact name of registrant as specified in its charter) Delaware 001-39294 85-0598378 (State or other jurisdiction of incorporation) (Commissio

Amended and Restated Bylaws of Assertio Holdings, Inc, dated November 2, 2022

Exhibit 3.1 BYLAWS OF ASSERTIO HOLDINGS, INC. (a Delaware corporation) Article I CORPORATE OFFICES Section 1.1 Registered Office. The registered office of Assertio Holdings, Inc., a Delaware corporation (the “Corporation”) shall be fixed in the Certificate of Incorporation of the Corporation (as the same may be amended and/or restated from time to time, the “Certificate of Incorporation”). Section

Assertio Reports Third Quarter 2022 Financial Results Net Product Sales Increase 32% Year-Over-Year, Non-GAAP Adjusted EBITDA Increases 36% Increases Guidance for Net Product Sales and Adjusted EBITDA Debt Refinancing Extends Maturity, Reduces Cost a

Exhibit 99.1 Assertio Reports Third Quarter 2022 Financial Results Net Product Sales Increase 32% Year-Over-Year, Non-GAAP Adjusted EBITDA Increases 36% Increases Guidance for Net Product Sales and Adjusted EBITDA Debt Refinancing Extends Maturity, Reduces Cost and Increases Strategic Flexibility Expects Sympazan to Add $1 Million in Net Product Sales in 4Q LAKE FOREST, IL. ? November 8, 2022 ? As

Amended and Restated Bylaws of Assertio Holdings, Inc. (incorporated by reference to Exhibit 3.1 to Assertio Holdings, Inc.’s Current Report on Form 8-K filed on November 8, 2022)

Exhibit 3.1 BYLAWS OF ASSERTIO HOLDINGS, INC. (a Delaware corporation) Article I CORPORATE OFFICES Section 1.1 Registered Office. The registered office of Assertio Holdings, Inc., a Delaware corporation (the ?Corporation?) shall be fixed in the Certificate of Incorporation of the Corporation (as the same may be amended and/or restated from time to time, the ?Certificate of Incorporation?). Section

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 Form 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): November 8, 2022 (November 2, 202

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 Form 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): November 8, 2022 (November 2, 2022) ASSERTIO HOLDINGS, INC. (Exact name of registrant as specified in its charter) Delaware 01-39294 85-0598378 (State or Other Jurisdiction of Incorpo

Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year, Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 Form 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): November 8, 2022 (November 2, 2022) ASSERTIO HOLDINGS, INC. (Exact name of registrant as specified in its charter) Delaware 01-39294 85-0598378 (State or Other Jurisdiction of Incorpo

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED SEPTEMBER 30, 2022 ☐ TRANSITION REPORT PURSUANT

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED SEPTEMBER 30, 2022 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO COMMISSION FILE NUMBER 001-39294 ASSERTIO HOLDINGS

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) October 28, 2022 (October 27, 2022

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) October 28, 2022 (October 27, 2022) ASSERTIO HOLDINGS, INC. (Exact name of registrant as specified in its charter) Delaware 001-39294 85-0598378 (State or other jurisdiction of incorpo

Assertio Holdings, Inc. Signs Exclusive License for Sympazan® (clobazam) Oral Film from Aquestive Therapeutics, Inc. Trailing 12 Month Revenues of Sympazan Were $9.5 Million Assertio Paid $9.0 Million Upfront, Additional $6.0 Million upon Patent Allo

Exhibit 99.1 Assertio Holdings, Inc. Signs Exclusive License for Sympazan® (clobazam) Oral Film from Aquestive Therapeutics, Inc. Trailing 12 Month Revenues of Sympazan Were $9.5 Million Assertio Paid $9.0 Million Upfront, Additional $6.0 Million upon Patent Allowance LAKE FOREST, IL. – October 27, 2022 – Assertio Holdings, Inc. (“Assertio” or the “Company”) (Nasdaq: ASRT), a specialty pharmaceuti

Assertio Announces Closing of $70 Million Convertible Senior Notes Offering Includes Full Exercise of Initial Purchaser's Option to Purchase $10 Million of Additional Notes

Exhibit 99.3 Assertio Announces Closing of $70 Million Convertible Senior Notes Offering Includes Full Exercise of Initial Purchaser's Option to Purchase $10 Million of Additional Notes LAKE FOREST, Ill., Aug. 25, 2022 (GLOBE NEWSWIRE) ? Assertio Holdings, Inc. ("Assertio" or the "Company") (Nasdaq: ASRT), a specialty pharmaceutical company offering differentiated products to patients, today annou

Unregistered Sales of Equity Securities, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant, Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) August 25, 2022 (August 22, 2022) ASSERTIO HOLDINGS, INC. (Exact name of registrant as specified in its charter) Delaware 001-39294 85-0598378 (State or other jurisdiction of incorpora

Assertio Announces Proposed Convertible Senior Notes Offering to Refinance Existing 13% Senior Secured Notes Due 2024

Exhibit 99.1 Assertio Announces Proposed Convertible Senior Notes Offering to Refinance Existing 13% Senior Secured Notes Due 2024 LAKE FOREST, Ill., August 22, 2022 (GLOBE NEWSWIRE) ? Assertio Holdings, Inc. (?Assertio? or the ?Company?) (Nasdaq: ASRT), a specialty pharmaceutical company offering differentiated products to patients, today announced its intention to offer, subject to market and ot

Indenture, dated as of August 25, 2022, between the Company and U.S. Bank Trust Company, National Association, as trustee (incorporated by reference to Exhibit 4.1 to the Company’s Current Report on Form 8-K filed August 25, 2022)

Exhibit 4.1 Execution Version ASSERTIO HOLDINGS, INC. AND U.S. BANK TRUST COMPANY, NATIONAL ASSOCIATION as Trustee INDENTURE Dated as of August 25, 2022 6.50% Convertible Senior Notes due 2027 TABLE OF CONTENTS Page Article 1 Definitions Section 1.01. Definitions 1 Section 1.02. References to Interest 14 Article 2 Issue, Description, Execution, Registration and Exchange of Notes Section 2.01. Desi

Assertio Prices $60 Million Convertible Senior Notes Offering to Refinance Existing 13% Senior Secured Notes Due 2024

Exhibit 99.2 Assertio Prices $60 Million Convertible Senior Notes Offering to Refinance Existing 13% Senior Secured Notes Due 2024 LAKE FOREST, Ill., August 22, 2022 (GLOBE NEWSWIRE) ? Assertio Holdings, Inc. (?Assertio? or the ?Company?) (Nasdaq: ASRT), a specialty pharmaceutical company offering differentiated products to patients, today announced the pricing of its offering of $60 million aggre

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 Form 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): August 8, 2022 ASSERTIO HOLDINGS, INC. (Exact name of registrant as specified in its charter) Delaware 01-39294 85-0598378 (State or Other Jurisdiction of Incorporation) (Commission F

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED JUNE 30, 2022 ☐ TRANSITION REPORT PURSUANT TO S

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED JUNE 30, 2022 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO COMMISSION FILE NUMBER 001-39294 ASSERTIO HOLDINGS, INC

Assertio Reports Second Quarter 2022 Financial Results Net Product Sales Increase 40% Year-Over-Year, Non-GAAP Adjusted EBITDA Increases to $22.9 million Raises Full Year Revenue and Non-GAAP Adjusted EBITDA Guidance

Exhibit 99.1 Assertio Reports Second Quarter 2022 Financial Results Net Product Sales Increase 40% Year-Over-Year, Non-GAAP Adjusted EBITDA Increases to $22.9 million Raises Full Year Revenue and Non-GAAP Adjusted EBITDA Guidance LAKE FOREST, IL. ? August 8, 2022 ? Assertio Holdings, Inc. (?Assertio? or the ?Company?) (Nasdaq: ASRT), a specialty pharmaceutical company offering differentiated produ

LETTER

United States securities and exchange commission logo June 8, 2022 Ajay Patel Chief Accounting Officer Assertio Holdings, Inc.

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VIA EDGAR May 27, 2022 Securities and Exchange Commission Division of Corporation Finance Office of Life Sciences 100 F Street, N.

LETTER

United States securities and exchange commission logo May 16, 2022 Ajay Patel Chief Accounting Officer Assertio Holdings, Inc.

Amended and Restated 2014 Omnibus Incentive Plan.

Exhibit 99.1 ASSERTIO HOLDINGS, INC. AMENDED AND RESTATED 2014 OMNIBUS INCENTIVE PLAN 1. Plan. Assertio Holdings, Inc., a Delaware corporation (the ?Company?), originally established the 2014 Omnibus Incentive Plan (the ?Original Plan?), effective as of February 19, 2014 (the ?Effective Date?). The Original Plan was most recently amended and restated in its entirety effective May 18, 2021 in conne

Filing Fee Table.

EX-FILING FEES 6 tm2215243d1ex-filingfees.htm EX-FILING FEES Exhibit 107.1 Calculation of Filing Fee Tables FORM S-8 (Form Type) ASSERTIO HOLDINGS, INC. (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered Securities Security Type Security Class Title (1) Fee Calculation Rule Amount Registered (1) Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price

As filed with the Securities and Exchange Commission on May 12, 2022

As filed with the Securities and Exchange Commission on May 12, 2022 Registration No.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED MARCH 31, 2022 ☐ TRANSITION REPORT PURSUANT TO

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED MARCH 31, 2022 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO COMMISSION FILE NUMBER 001-39294 ASSERTIO HOLDINGS, IN

Assertio Reports First Quarter 2022 Financial Results Reaffirms Full Year Net Product Sales and Raises Full Year Non-GAAP Adjusted EBITDA Guidance Net Product Sales Up 37% and Non-GAAP Adjusted EBITDA Up 52% Compared to Prior Year Quarter Quarterly N

Exhibit 99.1 Assertio Reports First Quarter 2022 Financial Results Reaffirms Full Year Net Product Sales and Raises Full Year Non-GAAP Adjusted EBITDA Guidance Net Product Sales Up 37% and Non-GAAP Adjusted EBITDA Up 52% Compared to Prior Year Quarter Quarterly Net Cash Flows from Operating Activities of $27.4 Million LAKE FOREST, IL. ? May 9, 2022 ? Assertio Holdings, Inc. (?Assertio? or the ?Com

Financial Statements and Exhibits, Results of Operations and Financial Condition, Submission of Matters to a Vote of Security Holders

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 Form 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): May 9, 2022 ASSERTIO HOLDINGS, INC. (Exact name of registrant as specified in its charter) Delaware 01-39294 85-0598378 (State or Other Jurisdiction of Incorporation) (Commission File

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.       )

TABLE OF CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.?????? ) Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? ? Confidential, for Use of the Commission Only (as permitted by

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE FISCAL YEAR ENDED DECEMBER 31, 2021 ☐ TRANSITION REPORT PURSUANT TO SECTI

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE FISCAL YEAR ENDED DECEMBER 31, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO Commission File Number: 001-39294 ASSERTIO HOLDINGS, INC. (

Form of Management Continuity Agreement (incorporated by reference to Exhibit 10.2 to the Company's Annual Report on Form 10-K filed on March 10, 2022)

FORM OF Exhibit 10.2 ASSERTIO HOLDINGS, INC MANAGEMENT CONTINUITY AGREEMENT This Management Continuity Agreement (the ?Agreement?) is effective as of , 20 (the ?Effective Date?) by and between (?Employee?) and Assertio Holdings, Inc., a Delaware corporation (the ?Company?). This Agreement is intended to provide Employee with certain benefits described herein upon the occurrence of specific events.

Separation Agreement and Release of Claims between Todd N. Smith and Assertio Management, LLC, dated December 14, 2020 (incorporated by reference to Exhibit 10.14 to the Company’s Annual Report on Form 10-K filed on March 12, 2021)

Exhibit 10.12 CERTAIN MATERIAL (INDICATED BY [***]) HAS BEEN OMITTED FROM THIS DOCUMENT BECAUSE IT IS BOTH (I) NOT MATERIAL AND (II) WOULD BE COMPETITIVELY HARMFUL IF PUBLICLY DISCOSED. SEPARATION AGREEMENT AND RELEASE OF CLAIMS This SEPARATION AGREEMENT AND RELEASE OF CLAIMS (this ?Release?) is entered into on this 14th day of December 2020 by and between Todd N. Smith (the ?Executive?) and Asser

Asset Purchase Agreement, dated as of December 15, 2021, by and among Otter Pharmaceuticals, LLC, Antares Pharma, Inc. and the Company (incorporated by reference to Exhibit 2.1 to the Company's Annual Report on Form 10-K filed on March 10, 2022)

Exhibit 2.1 CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS DOCUMENT, MARKED BY [***], HAS BEEN OMITTED BECAUSE IT IS BOTH (I) NOT MATERIAL AND (II) IS OF THE TYPE THAT THE REGISTRANT TREATS AS PRIVATE OR CONFIDENTIAL. ASSET PURCHASE AGREEMENT by and between OTTER PHARMACEUTICALS, LLC, ANTARES PHARMA, INC., and ASSERTIO HOLDINGS, INC. Dated as of December 15, 2021 TABLE OF CONTENTS Page ARTICLE

Sales Agreement, dated as of December 17, 2021, by and between the Company and Roth Capital Partners, LLC

Exhibit 1.1 ASSERTIO HOLDINGS, INC. $25,000,000 Common Stock ($0.0001 par value per share) Sales Agreement December 17, 2021 Roth Capital Partners, LLC 888 San Clemente Drive, Suite 400 Newport Beach, CA 92660 Ladies and Gentlemen: Assertio Holdings, Inc., a Delaware corporation (the ?Company?), confirms its agreement (this ?Agreement?) with Roth Capital Partners, LLC (the ?Agent?), as follows: 1.

List of Subsidiaries

Exhibit 21.1 SUBSIDIARIES OF THE REGISTRANT Name of Subsidiary State of Jurisdiction or Organization Assertio Therapeutics, Inc. Delaware Depo DR Sub, LLC Delaware Depo NF Sub, LLC Delaware Assertio Management, LLC Delaware Assertio Distribution, LLC Delaware Alligator IP, LLC Delaware Zyla Life Sciences, Inc. Delaware Zyla Life Sciences US, Inc. Delaware Egalet Limited United Kingdom Otter Pharma

Second Supplemental Indenture, dated as of December 15, 2021, by and among Otter Pharmaceuticals, LLC, the Company, the existing guarantors and Wilmington Savings Fund Society

Exhibit 4.3 SECOND SUPPLEMENTAL INDENTURE This SECOND SUPPLEMENTAL INDENTURE (this ?Supplemental Indenture?) dated as of December 15, 2021 is by and among Otter Pharmaceuticals, LLC, a Delaware limited liability company (the ?New Guarantor?), a subsidiary of Assertio Holdings, Inc. (f/k/a Alligator Zebra Holdings, Inc.), a Delaware corporation (as successor in interest to Zyla Life Sciences (f/k/a

Amended and Restated Annual Bonus Plan

Exhibit 10.7 ASSERTIO HOLDINGS, INC. AMENDED AND RESTATED ANNUAL BONUS PLAN (as adopted by the Board of Directors on February 15, 2022) Assertio Holdings, Inc. (?Assertio? or the ?Company) has established an Annual Bonus Plan (the ?Bonus Plan?) that is designed to align employee performance with annual corporate goals and to reward the achievement of corporate and personal goals during the plan ye

Separation Agreement and Release of Claims between Mark Strobeck and Assertio Management, LLC, dated December 14, 2020 (incorporated by reference to Exhibit 10.15 to the Company’s Annual Report on Form 10-K filed on March 12, 2021)

Exhibit 10.13 CERTAIN MATERIAL (INDICATED BY [***]) HAS BEEN OMITTED FROM THIS DOCUMENT BECAUSE IT IS BOTH (I) NOT MATERIAL AND (II) WOULD BE COMPETITIVELY HARMFUL IF PUBLICLY DISCOSED. SEPARATION AGREEMENT AND RELEASE OF CLAIMS This SEPARATION AGREEMENT AND RELEASE OF CLAIMS (this "Release") is entered into on this 14th day of December 2020 by and between Mark Strobeck (the "Executive") and Asser

Assertio Reports Fourth Quarter and Full Year 2021 Financial Results $32.2 Million Fourth Quarter Net Product Sales, a 7% Increase from Fourth Quarter 2020 and $109.4 Million Full Year Net Product Sales $17.8 Million Fourth Quarter Non-GAAP Adjusted

Exhibit 99.1 Assertio Reports Fourth Quarter and Full Year 2021 Financial Results $32.2 Million Fourth Quarter Net Product Sales, a 7% Increase from Fourth Quarter 2020 and $109.4 Million Full Year Net Product Sales $17.8 Million Fourth Quarter Non-GAAP Adjusted EBITDA, a 118% Increase from Fourth Quarter 2020 and $48.8 Million Full Year Non-GAAP Adjusted EBITDA Provides 2022 Net Product Sales Gui

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 Form 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): March 9, 2022 ASSERTIO HOLDINGS, INC. (Exact name of registrant as specified in its charter) Delaware 001-39294 85-0598378 (State or Other Jurisdiction of Incorporation) (Commission F

ASRT / Assertio Holdings Inc / HIGHBRIDGE CAPITAL MANAGEMENT LLC - ASSERTIO HOLDINGS, INC. Passive Investment

SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 1)* Assertio Holdings, Inc. (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 04546C205 (CUSIP Number) December 31, 2021 (Date of event which requires filing of this statement) Check the appropriate box to designate the rule pursu

OTREXUP® Product Line of Antares Pharma, Inc. Special Purpose Financial Statements For the Nine Months Ended September 30, 2021 and 2020 Product Line of Antares Pharma, Inc. Special Purpose Financial Statements For the Nine Months Ended September 30,

Exhibit 99.2 OTREXUP? Product Line of Antares Pharma, Inc. Special Purpose Financial Statements For the Nine Months Ended September 30, 2021 and 2020 (Unaudited) OTREXUP? Product Line of Antares Pharma, Inc. Special Purpose Financial Statements For the Nine Months Ended September 30, 2021 and 2020 (Unaudited) TABLE OF CONTENTS Special Purpose Financial Statements 2 Special Purpose Financial Statem

Unaudited Pro Forma Condensed Combined Financial Statements (amounts in thousands)

Exhibit 99.3 Unaudited Pro Forma Condensed Combined Financial Statements (amounts in thousands) On December 15, 2021, Assertio Holdings, Inc. (?Assertio? or the ?Company?), through its newly formed subsidiary, Otter Pharmaceuticals, LLC, entered into an Asset Purchase Agreement (the ?Purchase Agreement?) with Antares Pharma, Inc. (?Antares?), and concurrently consummated the transactions contempla

OTREXUP® Product Line of Antares Pharma, Inc. Special Purpose Financial Statements For the years ended December 31, 2020 and 2019 Product Line of Antares Pharma, Inc. Special Purpose Financial Statements For the Years Ended December 31, 2020 and 2019

Exhibit 99.1 OTREXUP? Product Line of Antares Pharma, Inc. Special Purpose Financial Statements For the years ended December 31, 2020 and 2019 OTREXUP? Product Line of Antares Pharma, Inc. Special Purpose Financial Statements For the Years Ended December 31, 2020 and 2019 TABLE OF CONTENTS Independent Auditors? Report 3 Special Purpose Financial Statements 4 Special Purpose Financial Statements of

Regulation FD Disclosure, Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Completion of Acquisition or Disposition of Assets

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) December 16, 2021 (December 15, 2021) ASSERTIO HOLDINGS, INC. (Exact name of registrant as specified in its charter) Delaware 001-39294 85-0598378 (State or other jurisdiction of incor

Assertio Holdings, Inc. Announces the Acquisition of Otrexup® (methotrexate) a Drug Device Combination from Antares Pharma, Inc. Trailing 12 Month Reported Revenues of Otrexup Were $15.5 Million Assertio will Pay Antares $18.0 Million Upfront and an

Exhibit 99.1 Assertio Holdings, Inc. Announces the Acquisition of Otrexup? (methotrexate) a Drug Device Combination from Antares Pharma, Inc. Trailing 12 Month Reported Revenues of Otrexup Were $15.5 Million Assertio will Pay Antares $18.0 Million Upfront and an Additional $26.0 Million in Deferred Payments Raises Full Year Net Product Sales and Non-GAAP Adjusted EBITDA Guidance LAKE FOREST, IL. ?

Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A (Amendment No. 1) CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) December 15, 2021 ASSERTIO HOLDINGS, INC. (Exact name of registrant as specified in its charter) Delaware 001-39294 85-0598378 (State or other jurisdiction of incor

SUPERIOR COURT OF THE STATE OF CALIFORNIA FOR THE COUNTY OF ALAMEDA COMPLEX CIVIL LITIGATION

Exhibit 99.2 Robert C. Moest, Of Counsel Michael A. Mugmon (SBN 251958) (SBN 62166) WILMER CUTLER PICKERING THE BROWN LAW FIRM, P.C. HALE AND DORR LLP 2530 Wilshire Blvd., Second Floor One Front Street, Suite 3500 Santa Monica, CA 90403 San Francisco, CA 94111 Telephone: (310) 915-6628 Telephone: (628) 235-1006 [email protected] [email protected] Timothy Brown Counsel for Nominal Defendan

NOTICE OF SHAREHOLDER DERIVATIVE LITIGATION, PROPOSED SETTLEMENT, AND SETTLEMENT HEARING

Exhibit 99.1 NOTICE OF SHAREHOLDER DERIVATIVE LITIGATION, PROPOSED SETTLEMENT, AND SETTLEMENT HEARING TO: ALL CURRENT RECORD HOLDERS AND BENEFICIAL OWNERS OF COMMON STOCK OF ASSERTIO HOLDINGS, INC. (EXCLUDING DEFENDANTS) AND THEIR SUCCESSORS-IN- INTEREST. PLEASE READ THIS NOTICE CAREFULLY AND IN ITS ENTIRETY. THIS NOTICE RELATES TO A PROPOSED SETTLEMENT AND DISMISSAL OF SHAREHOLDER DERIVATIVE LITI

Financial Statements and Exhibits, Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) November 12, 2021 (October 28, 2021) ASSERTIO HOLDINGS, INC. (Exact name of registrant as specified in its charter) Delaware 001-39294 85-0598378 (State or other jurisdiction of incorp

Assertio Reports Third Quarter 2021 Financial Results Raises Full Year Net Product Sales and Non-GAAP Adjusted EBITDA Guidance Net Product Sales of $26.0 Million Quarterly Net Cash Flows from Operating Activities of $4.7 Million, Representing Second

Exhibit 99.1 Assertio Reports Third Quarter 2021 Financial Results Raises Full Year Net Product Sales and Non-GAAP Adjusted EBITDA Guidance Net Product Sales of $26.0 Million Quarterly Net Cash Flows from Operating Activities of $4.7 Million, Representing Second Consecutive Quarter of Positive Cash Flows from Operating Activities and Highest Since Q4 2019 Non-GAAP Adjusted EBITDA of $15.8 Million,

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 Form 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): November 4, 2021 ASSERTIO HOLDINGS, INC. (Exact name of registrant as specified in its charter) Delaware 01-39294 85-0598378 (State or Other Jurisdiction of Incorporation) (Commission

Amendment No. 3 to Collaborative License, Exclusive Manufacture and Global Supply Agreement between Zyla Life Sciences and Cosette Pharmaceuticals, Inc. effective July 9, 2021 (incorporated by reference to Exhibit 10.1 to the Company’s Quarterly Report on Form 10-Q filed on November 4, 2021)

Exhibit 10.1 CERTAIN MATERIAL (INDICATED BY [***]) HAS BEEN OMITTED FROM THIS DOCUMENT BECAUSE IT IS BOTH (I) NOT MATERIAL AND (II) WOULD BE COMPETITIVELY HARMFUL IF PUBLICLY DISCOSED. AMENDMENT NO. 3 TO COLLABORATIVE LICENSE, EXCLUSIVE MANUFACTURE AND GLOBAL SUPPLY AGREEMENT THIS AMENDMENT NO. 3 TO COLLABORATIVE LICENSE, EXCLUSIVE MANUFACTURE AND GLOBAL SUPPLY AGREEMENT (this ?Amendment?), is eff

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED SEPTEMBER 30, 2021 ☐ TRANSITION REPORT PURSUANT

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED SEPTEMBER 30, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO COMMISSION FILE NUMBER 001-39294 ASSERTIO HOLDINGS

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED JUNE 30, 2021 ☐ TRANSITION REPORT PURSUANT TO S

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED JUNE 30, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO COMMISSION FILE NUMBER 001-39294 ASSERTIO HOLDINGS, INC

Assertio Reports Second Quarter 2021 Financial Results Reported Net Product Sales of $24.8 Million Raises Full Year Net Product Sales Guidance Range Narrows Previous Non-GAAP Adjusted EBITDA Guidance Range

Exhibit 99.1 Assertio Reports Second Quarter 2021 Financial Results Reported Net Product Sales of $24.8 Million Raises Full Year Net Product Sales Guidance Range Narrows Previous Non-GAAP Adjusted EBITDA Guidance Range LAKE FOREST, IL. ? August 5, 2021 ? Assertio Holdings, Inc. (?Assertio? or the ?Company?) (Nasdaq: ASRT), a leading commercial pharmaceutical company bringing differentiated product

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 Form 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): August 5, 2021 ASSERTIO HOLDINGS, INC. (Exact name of registrant as specified in its charter) Delaware 01-39294 85-0598378 (State or Other Jurisdiction of Incorporation) (Commission F

Entry into a Material Definitive Agreement

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) July 15, 2021 (July 9, 2021) ASSERTIO HOLDINGS, INC. (Exact name of registrant as specified in its charter) Delaware 001-39294 85-0598378 (State or other jurisdiction of incorporation)

Submission of Matters to a Vote of Security Holders

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K (Amendment No. 1) CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) May 17, 2021 (May 11, 2021) ASSERTIO HOLDINGS, INC. (Exact name of registrant as specified in its charter) Delaware 001-39294 85-0598378 (State or other jurisdiction

Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) June 7, 2021 (June 4, 2021) ASSERTIO HOLDINGS, INC. (Exact name of registrant as specified in its charter) Delaware 001-39294 85-0598378 (State or other jurisdiction of incorporation)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. )

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ? Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o Defin

Certificate of Amendment to the Amended and Restated Certificate of Incorporation, dated May 13, 2021 (incorporated by reference to Exhibit 3.1 to the Company’s Current Report on Form 8-K filed on May 17, 2021)

Exhibit 3.1 CERTIFICATE OF AMENDMENT TO THE CERTIFICATE OF INCORPORATION OF ASSERTIO HOLDINGS, INC. Assertio Holdings, Inc. (the ?Corporation?), a corporation organized and existing under and by virtue of the General Corporation Law of the State of Delaware (the ?DGCL?), does hereby certify that: 1. The name of the Corporation is Assertio Holdings, Inc. The Corporation?s original Certificate of In

Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year, Material Modification to Rights of Security Holders, Financial Statements and Exhibits, Other Events, Submission of Matters to a Vote of Security Holders

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) May 17, 2021 (May 11, 2021) ASSERTIO HOLDINGS, INC. (Exact name of registrant as specified in its charter) Delaware 333-237599 85-0598378 (State or other jurisdiction of incorporation)

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 Form 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): May 6, 2021 ASSERTIO HOLDINGS, INC. (Exact name of registrant as specified in its charter) Delaware 01-39294 85-0598378 (State or Other Jurisdiction of Incorporation) (Commission File

Assertio Reports First Quarter 2021 Financial Results Reported Net Product Sales of $26.4 Million, Compared to Prior Year Pro-Forma Net Products Sales of $28.3 Million Provides Financial Guidance for 2021

EX-99.1 2 asrt1q2021earningsreleasee.htm EX-99.1 Exhibit 99.1 Assertio Reports First Quarter 2021 Financial Results Reported Net Product Sales of $26.4 Million, Compared to Prior Year Pro-Forma Net Products Sales of $28.3 Million Provides Financial Guidance for 2021 LAKE FOREST, IL. – May 6, 2021 – Assertio Holdings, Inc. (“Assertio” or the “Company”) (Nasdaq: ASRT), a leading commercial pharmaceu

Quarterly Report - 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED MARCH 31, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO COMMISSION FILE NUMBER 001-39294 ASSERTIO HOLDINGS, IN

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 Form 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): May 5, 2021 ASSERTIO HOLDINGS, INC. (Exact name of registrant as specified in its charter) Delaware 001-39294 85-0598378 (State or Other Jurisdiction of Incorporation) (Commission Fil

- DEFA14A

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o Defin

- DEFR14A

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. 1) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) x Defi

- DEF 14A

TABLE OF CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ???????) Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? ? Confidential, for Use of the Commission Only (as permitted b

- PRE 14A

TABLE OF CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ???????) Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? ? Confidential, for Use of the Commission Only (as permitted b

Financial Statements and Exhibits, Changes in Registrant's Certifying Accountant

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 Form 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): March 23, 2021 (March 18, 2021) ASSERTIO HOLDINGS, INC. (Exact name of registrant as specified in its charter) Delaware 001-39294 85-0598378 (State or Other Jurisdiction of Incorporat

Letter from Ernst & Young LLP to the Securities and Exchange Commission dated March 23, 2021

EX-16.1 2 tm2110621d1ex16-1.htm EXHIBIT 16.1 Exhibit 16.1 March 23, 2021 Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Ladies and Gentlemen: We have read Item 4.01 of Form 8-K dated March 23, 2021, of Assertio Holdings, Inc. and are in agreement with the statements contained in the paragraphs within section (a) therein. We have no basis to agree or disagree with other

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 Form 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): March 17, 2021 (March 11, 2021) ASSERTIO HOLDINGS, INC. (Exact name of registrant as specified in its charter) Delaware 001-39294 85-0598378 (State or Other Jurisdiction of Incorporat

of Subsidiaries Subsidiaries

EX-21.1 4 exhibit211-subsidiaries.htm EX-21.1 Exhibit 21.1 SUBSIDIARIES OF THE REGISTRANT Name of Subsidiary State of Jurisdiction or Organization Assertio Therapeutics, Inc. Delaware Depo DR Sub, LLC Delaware Depo NF Sub, LLC Delaware Assertio Management, LLC Delaware Assertio Distribution, LLC Delaware Alligator IP, LLC Delaware Zyla Life Sciences, Inc. Delaware Zyla Life Sciences US Inc. Delawa

Separation Agreement and Release of Claims between Mark Strobeck and Assertio Management, LLC, dated December 14, 2020

Exhibit 10.15 CERTAIN MATERIAL (INDICATED BY [***]) HAS BEEN OMITTED FROM THIS DOCUMENT BECAUSE IT IS BOTH (I) NOT MATERIAL AND (II) WOULD BE COMPETITIVELY HARMFUL IF PUBLICLY DISCOSED. SEPARATION AGREEMENT AND RELEASE OF CLAIMS This SEPARATION AGREEMENT AND RELEASE OF CLAIMS (this "Release") is entered into on this 14th day of December 2020 by and between Mark Strobeck (the "Executive") and Asser

Annual Report - 10-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE FISCAL YEAR ENDED DECEMBER 31, 2020 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO Commission File Number: 001-39294 ASSERTIO HOLDINGS, INC. (

Separation Agreement and Release of Claims between Todd N. Smith and Assertio Management, LLC, dated December 14, 2020

Exhibit 10.14 CERTAIN MATERIAL (INDICATED BY [***]) HAS BEEN OMITTED FROM THIS DOCUMENT BECAUSE IT IS BOTH (I) NOT MATERIAL AND (II) WOULD BE COMPETITIVELY HARMFUL IF PUBLICLY DISCOSED. SEPARATION AGREEMENT AND RELEASE OF CLAIMS This SEPARATION AGREEMENT AND RELEASE OF CLAIMS (this ?Release?) is entered into on this 14th day of December 2020 by and between Todd N. Smith (the ?Executive?) and Asser

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 Form 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): March 11, 2021 ASSERTIO HOLDINGS, INC. (Exact name of registrant as specified in its charter) Delaware 001-39294 85-0598378 (State or Other Jurisdiction of Incorporation) (Commission

Assertio Reports Fourth Quarter and Full Year 2020 Financial Results Full Year Net Product Sales of $93.5 Million; Full Year Pro-Forma Revenue of $119.2 Million in Line with Guidance Post Year-end Raised $45.3 Million in Cash, Net of Expenses, from C

Exhibit 99.1 Assertio Reports Fourth Quarter and Full Year 2020 Financial Results Full Year Net Product Sales of $93.5 Million; Full Year Pro-Forma Revenue of $119.2 Million in Line with Guidance Post Year-end Raised $45.3 Million in Cash, Net of Expenses, from Closing of Registered Direct Offerings Announces Promotion of Chief Financial and Accounting Officers and Management Team LAKE FOREST, Ill

SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Amendment No. 2) Under the Securities Exchange Act of 1934 Assertio Holdings, Inc.1 (Name of Issuer) Common Stock, $0.0001 par value (Title of Class of Securities) (CUSIP Number)

SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Amendment No. 2) Under the Securities Exchange Act of 1934 Assertio Holdings, Inc.1 (Name of Issuer) Common Stock, $0.0001 par value (Title of Class of Securities) 04546C106 (CUSIP Number) December 31, 2020 (Date of Event Which Requires Filing of this Statement) Check the following box to designate the rule pursuant to which t

JOINT FILING AGREEMENT

Exhibit 2 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k)(1) under the Securities Exchange Act of 1934, as amended, each of the undersigned Reporting Persons hereby agrees to the joint filing, along with all other such Reporting Persons, on behalf of each of them of a statement on Schedule 13G (including amendments thereto) with respect to the Common Stock, $0.

POWER OF ATTORNEY FOR CERTAIN REGULATORY FILINGS INCLUDING CERTAIN FILINGS UNDER THE SECURITIES EXCHANGE ACT OF 1934 AND THE INVESTMENT ADVISERS ACT OF 1940

EX-99.1 2 tm215909d23ex1.htm EXHIBIT 1 Exhibit 1 POWER OF ATTORNEY FOR CERTAIN REGULATORY FILINGS INCLUDING CERTAIN FILINGS UNDER THE SECURITIES EXCHANGE ACT OF 1934 AND THE INVESTMENT ADVISERS ACT OF 1940 I, David E. Shaw, hereby make, constitute, and appoint each of: Edward Fishman, Julius Gaudio, Martin Lebwohl, Maximilian Stone, David Sweet, Nathan Thomas, and Eric Wepsic, acting individually,

Securities Purchase Agreement by and among the Company and certain investors, dated as of February 10, 2021

Exhibit 1.1 SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this ?Agreement?) is dated as of February 10, 2021, between Assertio Holdings, Inc., a Delaware corporation (the ?Company?), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a ?Purchaser? and collectively the ?Purchasers?). WHEREAS, subject to the terms and conditio

Placement Agency Agreement by and between the Company and Roth Capital Partners, LLC, dated as of February 10, 2021

Exhibit 1.2 PLACEMENT AGENCY AGREEMENT February 10, 2021 Roth Capital Partners, LLC 888 San Clemente Drive, Suite 400 Newport Beach, CA 92660 Ladies and Gentlemen: Introduction. Subject to the terms and conditions herein (this ?Agreement?), Assertio Holdings, Inc., a Delaware corporation (the ?Company?), hereby agrees to sell up to an aggregate of $34,300,000 of registered shares (the ?Shares?) of

Entry into a Material Definitive Agreement, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of report (Date of earliest event reported): February 12, 2021 (February 10, 2021) ASSERTIO HOLDINGS, INC. (Exact name of registrant as specified in its charter) Delaware 001-39294 85-0598378 (State or other jurisdiction of inco

35,000,000 Shares Common Stock ASSERTIO HOLDINGS, INC.

Filed Pursuant to Rule 424(b)(5) Registration Statement No. 333-252368 PROSPECTUS SUPPLEMENT (To Prospectus dated February 4, 2021) 35,000,000 Shares Common Stock ASSERTIO HOLDINGS, INC. We are offering 35,000,000 of shares of our common stock at a purchase price of $0.98 per share in a registered direct offering directly to certain accredited investors pursuant to this prospectus supplement and t

Entry into a Material Definitive Agreement, Financial Statements and Exhibits - FORM 8-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of report (Date of earliest event reported): February 9, 2021 (February 5, 2021) ASSERTIO HOLDINGS, INC. (Exact name of registrant as specified in its charter) Delaware 001-39294 85-0598378 (State or other jurisdiction of incorp

Placement Agency Agreement by and between the Company and Roth Capital Partners, LLC, dated as of February 5, 2021

Exhibit 1.2 PLACEMENT AGENCY AGREEMENT February 5, 2021 Roth Capital Partners, LLC 888 San Clemente Drive, Suite 400 Newport Beach, CA 92660 Ladies and Gentlemen: Introduction. Subject to the terms and conditions herein (this “Agreement”), Assertio Holdings, Inc., a Delaware corporation (the “Company”), hereby agrees to sell up to an aggregate of $14,012,000 of registered shares (the “Shares”) of

Securities Purchase Agreement by and among the Company and certain investors, dated as of February 5, 2021

Exhibit 1.1 SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this “Agreement”) is dated as of February 5, 2021, between Assertio Holdings, Inc., a Delaware corporation (the “Company”), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a “Purchaser” and collectively the “Purchasers”). WHEREAS, subject to the terms and condition

22,600,000 Shares Common Stock ASSERTIO HOLDINGS, INC.

Filed Pursuant to Rule 424(b)(5) Registration Statement No. 333-252368 PROSPECTUS SUPPLEMENT (To Prospectus dated February 4, 2021) 22,600,000 Shares Common Stock ASSERTIO HOLDINGS, INC. We are offering 22,600,000 of shares of our common stock at a purchase price of $0.62 per share in a registered direct offering directly to certain accredited investors pursuant to this prospectus supplement and t

UNAUDITED PRO FORMA CONDENSED COMBINED FINANCIAL INFORMATION

Exhibit 99.2 UNAUDITED PRO FORMA CONDENSED COMBINED FINANCIAL INFORMATION On May 20, 2020, Assertio Holdings, Inc. (Assertio) completed a Merger (the Merger) with Zyla Life Sciences (Zyla) pursuant to an Agreement and Plan of Merger (Merger Agreement), dated as of March 16, 2020. The following unaudited pro forma condensed combined financial information is presented to illustrate the estimated eff

ASSERTIO HOLDINGS, INC. Common Stock ($0.0001 par value per share) Sales Agreement

Exhibit 99.3 ASSERTIO HOLDINGS, INC. $25,000,000 Common Stock ($0.0001 par value per share) Sales Agreement , 2021 Roth Capital Partners, LLC 888 San Clemente Drive, Suite 400 Newport Beach, CA 92660 Ladies and Gentlemen: Assertio Holdings, Inc., a Delaware corporation (the “Company”), confirms its agreement (this “Agreement”) with Roth Capital Partners, LLC (the “Agent”), as follows: 1. Issuance

Assertio Announces $5.0 Million Insurance Settlement and General Corporate Updates

EX-99.1 2 tm215161d1ex99-1.htm EXHIBIT 99.1 Exhibit 99.1 Assertio Announces $5.0 Million Insurance Settlement and General Corporate Updates LAKE FOREST, Ill., February 3, 2021 (GLOBE NEWSWIRE) - Assertio Holdings, Inc. (“Assertio” or the “Company”) (Nasdaq: ASRT) today announced that its subsidiary Assertio Therapeutics, Inc. (“Assertio Therapeutics”) entered into a Confidential Settlement Agreeme

Financial Statements and Exhibits, Material Impairments, Costs Associated with Exit or Disposal Activities, Other Events - FORM 8-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) February 3, 2021 ASSERTIO HOLDINGS, INC. (Exact name of registrant as specified in its charter) Delaware 001-39294 85-0598378 (State or other jurisdiction of incorporation) (Commission

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VIA EDGAR February 1, 2021 United States Securities and Exchange Commission Division of Corporation Finance Office of Life Sciences 100 F Street, N.

LETTER

United States securities and exchange commission logo January 29, 2021 Daniel A. Peisert President and Chief Executive Officer Assertio Holdings, Inc. 100 South Saunders Road, Suite 300 Lake Forest, IL 60045 Re: Assertio Holdings, Inc. Registration Statement on Form S-3 Filed January 25, 2021 File No. 333-252368 Dear Mr. Peisert: This is to advise you that we have not reviewed and will not review

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United States securities and exchange commission logo January 29, 2021 Daniel A. Peisert President and Chief Executive Officer Assertio Holdings, Inc. 100 South Saunders Road, Suite 300 Lake Forest, IL 60045 Re: Assertio Holdings, Inc. Registration Statement on Form S-3 Filed January 25, 2021 File No. 333-252368 Dear Mr. Peisert: This is to advise you that we have not reviewed and will not review

Assertio Holdings, Inc.

SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Assertio Holdings, Inc. (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 04546C106 (CUSIP Number) January 21, 2021** (Date of event which requires filing of this statement) Check the appropriate box to designate the rule pursuan

Form S-3 that we filed with the Securities and Exchange Commission (the “SEC”), on January 25, 2021

As filed with the Securities and Exchange Commission on January 22, 2021 Registration Statement No.

Form of Senior Indenture

EX-4.1 2 tm213908d1ex4-1.htm EXHIBIT 4.1 Exhibit 4.1 ASSERTIO HOLDINGS, INC. Debt Securities Indenture Dated as of [ ] [ ]., as Trustee CROSS-REFERENCE TABLE This Cross-Reference Table is not a part of the Indenture TIA Section Indenture Section 310(a)(1) 7.10 (a)(2) 7.10 (a)(3) N.A. (a)(4) N.A. (b) 7.08; 7.10; 12.02 311(a) 7.11 (b) 7.11 (c) N.A. 312(a) 2.05 (b) 12.03 (c) 12.03 313(a) 7.06 (b)(1)

SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* Assertio Holdings, Inc. (Name of Issuer) Common Stock, $0.0001 par value per share (Title of Class of Securities) 0454

SC 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* Assertio Holdings, Inc. (Name of Issuer) Common Stock, $0.0001 par value per share (Title of Class of Securities) 04546C 106 (CUSIP Number) December 31, 2020 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the ru

Joint Filing Statement, dated as of January 6, 2021, by and among the Reporting Persons

EX-99.A Exhibit A JOINT FILING STATEMENT Pursuant to Rule 13(d)-1(k)(1) promulgated under the Securities Exchange Act of 1934, as amended, each of the undersigned acknowledges and agrees that the foregoing statement on Schedule 13G is filed on behalf of the undersigned and that all subsequent amendments to this statement on Schedule 13G shall be filed on behalf of the undersigned without the neces

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers - FORM 8-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) December 30, 2020 ASSERTIO HOLDINGS, INC. (Exact name of registrant as specified in its charter) Delaware 333-237599 85-0598378 (State or other jurisdiction of incorporation) (Commissi

SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* Assertio Holdings, Inc. (Name of Issuer) Common Stock, $0.0001 par value per share (Title of Class of Securities) 0454

SC 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* Assertio Holdings, Inc. (Name of Issuer) Common Stock, $0.0001 par value per share (Title of Class of Securities) 04546C 106 (CUSIP Number) December 23, 2020 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the ru

JOINT FILING STATEMENT

EX-99.A 2 d85309dex99a.htm EX-99.A Exhibit A JOINT FILING STATEMENT Pursuant to Rule 13(d)-1(k)(1) promulgated under the Securities Exchange Act of 1934, as amended, each of the undersigned acknowledges and agrees that the foregoing statement on Schedule 13G is filed on behalf of the undersigned and that all subsequent amendments to this statement on Schedule 13G shall be filed on behalf of the un

Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing - FORM 8-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) oF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported) December 29, 2020 ASSERTIO HOLDINGS, INC. (Exact name of registrant as specified in its charter) Delaware 333-237599 85-0598378 (State or other jurisdiction of incorporation) (Commissi

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits, Costs Associated with Exit or Disposal Activities - FORM 8-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): December 14, 2020 ASSERTIO HOLDINGS, INC.

Assertio Announces Restructuring Plan and Leadership Changes

Exhibit 99.1 Assertio Announces Restructuring Plan and Leadership Changes Expected to Reduce Costs by $45 Million Annually LAKE FOREST, Ill., Dec. 15, 2020 (GLOBE NEWSWIRE) - Assertio Holdings, Inc. (“Assertio” or the “Company”) (Nasdaq: ASRT) today announced a comprehensive restructuring plan designed to further reduce its cost base and right size its organization. “To adapt to the current market

Quarterly Report - 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED SEPTEMBER 30, 2020 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO COMMISSION FILE NUMBER 001-39294 ASSERTIO HOLDINGS

Financial Statements and Exhibits, Results of Operations and Financial Condition - 8-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 Form 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): November 6, 2020 ASSERTIO HOLDINGS, INC. (Exact name of registrant as specified in its charter) Delaware 01-39294 85-0598378 (State or Other Jurisdiction of Incorporation) (Commission

Assertio Reports Third Quarter 2020 Financial Results Reported Net Product Sales of $34.3 Million Non-GAAP Net Product Sales of $33.7 Million; Increased 21.4% over Pro-Forma Second Quarter 2020 Non-GAAP Net Product Sales Consistent with Pro-Forma Pri

Exhibit 99.1 Assertio Reports Third Quarter 2020 Financial Results Reported Net Product Sales of $34.3 Million Non-GAAP Net Product Sales of $33.7 Million; Increased 21.4% over Pro-Forma Second Quarter 2020 Non-GAAP Net Product Sales Consistent with Pro-Forma Prior Year Quarter Despite COVID-19 Related Sales Disruptions and Effects of Sales Force Integration Provides Updated Outlook for Remainder