| Name | Relationship | Address | Signature | Signature date | CIK |
|---|---|---|---|---|---|
| Reisenauer Mark L | CEO, Director | ASSERTIO HOLDINGS, INC., 100 SOUTH SAUNDERS ROAD, SUITE 300, LAKE FOREST | /s/ Sam Schlessinger, Attorney-in-fact for Mark L. Reisenauer | 14 Nov 2025 | 0001413481 |
| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Underlying Class | Amount | Exercise Price | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | ASRT | Restricted Stock Units | Award | $0 | +500,000 | $0.000000 | 500,000 | 13 Nov 2025 | Common Stock | 500,000 | $0.000000 | Direct | F1, F2, F3 | |
| transaction | ASRT | Stock Option (Right to Buy) | Award | $0 | +1,000,000 | $0.000000 | 1,000,000 | 13 Nov 2025 | Common Stock | 1,000,000 | $0.8248 | Direct | F2, F3 |
| Id | Content |
|---|---|
| F1 | Each restricted stock unit represents a contingent right to receive one share of the registrant's common stock. |
| F2 | One-third of these restricted stock units and stock options are scheduled to vest on each of the first three anniversaries of the grant date, assuming continued employment through the applicable vesting date. |
| F3 | The derivative securities were granted to the reporting person, and were not sold to the reporting person. As such, the reporting person did not pay any consideration for the derivative securities. |