Amended Statement of Ownership (sc 13g/a)
January 27 2022 - 08:04AM
Edgar (US Regulatory)
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SECURITIES AND EXCHANGE COMMISSION |
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Washington, D.C. 20549 |
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SCHEDULE 13G/A |
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Under the Securities Exchange Act of 1934 |
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(Amendment No. 1)* |
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Assertio Holdings, Inc.
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(Name of Issuer) |
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Common Stock, par value $0.0001 per share
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(Title of Class of Securities) |
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04546C205
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(CUSIP Number) |
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December 31, 2021
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(Date of event which requires filing of this statement) |
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Check the appropriate box to designate the rule pursuant to which
this Schedule 13G is filed: |
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¨ |
Rule 13d-1(b) |
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x |
Rule 13d-1(c) |
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Rule 13d-1(d) |
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(Page 1 of 7 Pages) |
______________________________
*The remainder of this cover page shall be filled out for a
reporting person's initial filing on this form with respect to the
subject class of securities, and for any subsequent amendment
containing information which would alter the disclosures provided
in a prior cover page.
The information required in the remainder of this cover page shall
not be deemed to be "filed" for the purpose of Section 18 of the
Securities Exchange Act of 1934 ("Act") or otherwise subject
to the liabilities of that section of the Act but shall be subject
to all other provisions of the Act (however, see the Notes).
| CUSIP No. 04546C205 |
13G/A |
Page
2
of 7 Pages |
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1 |
NAMES OF
REPORTING PERSONS
Highbridge Capital Management, LLC
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2 |
CHECK THE APPROPRIATE BOX IF A MEMBER
OF A GROUP |
(a)
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(b)
¨
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3 |
SEC USE ONLY |
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4 |
CITIZENSHIP OR PLACE OF ORGANIZATION
State of Delaware
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NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH |
5 |
SOLE
VOTING POWER
0
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6 |
SHARED
VOTING POWER
0
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7 |
SOLE
DISPOSITIVE POWER
0
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8 |
SHARED
DISPOSITIVE POWER
0
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9 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
0
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10 |
CHECK BOX IF THE AGGREGATE AMOUNT IN
ROW (9) EXCLUDES CERTAIN SHARES |
¨ |
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11 |
PERCENT
OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
0%
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12 |
TYPE OF
REPORTING PERSON
IA, OO
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| CUSIP No. 04546C205 |
13G/A |
Page
3
of 7 Pages |
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1 |
NAMES OF
REPORTING PERSONS
Highbridge Tactical Credit Master Fund, L.P.
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2 |
CHECK THE APPROPRIATE BOX IF A MEMBER
OF A GROUP |
(a)
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(b)
¨
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3 |
SEC USE ONLY |
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4 |
CITIZENSHIP OR PLACE OF ORGANIZATION
State of Delaware
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NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH |
5 |
SOLE
VOTING POWER
0
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6 |
SHARED
VOTING POWER
0
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7 |
SOLE
DISPOSITIVE POWER
0
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8 |
SHARED
DISPOSITIVE POWER
0
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9 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
0
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10 |
CHECK BOX IF THE AGGREGATE AMOUNT IN
ROW (9) EXCLUDES CERTAIN SHARES |
¨ |
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11 |
PERCENT
OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
0%
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12 |
TYPE OF
REPORTING PERSON
PN
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| CUSIP No. 04546C205 |
13G/A |
Page
4
of 7 Pages |
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Item 1(a). |
NAME OF ISSUER: |
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The name of the issuer is Assertio Holdings, Inc. (the
"Company"). |
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Item 1(b). |
ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES: |
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The Company's principal executive offices are located at 100 South
Sanders Rd., Suite 300, Lake Forest, IL 60045. |
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Item 2(a). |
NAME OF PERSON FILING: |
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Item 2(b). |
ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE,
RESIDENCE: |
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Item 2(c). |
CITIZENSHIP: |
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This statement is filed by: |
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(i) |
Highbridge Capital Management, LLC
277
Park Avenue, 23rd Floor
New
York, New York 10172
Citizenship: State of Delaware
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(ii) |
Highbridge Tactical Credit Master Fund, L.P.
277
Park Avenue, 23rd Floor
New
York, New York 10172
Citizenship: State of Delaware
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The foregoing persons are hereinafter sometimes collectively
referred to as the "Reporting Persons." |
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Item 2(d). |
TITLE OF CLASS OF SECURITIES: |
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Common Stock, par value $0.0001 per share (the "Common
Stock"). |
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Item 2(e). |
CUSIP NUMBER: |
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04546C205 |
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Item 3. |
IF THIS STATEMENT IS FILED PURSUANT TO RULES 13d-1(b) OR
13d-2(b) OR (c), CHECK WHETHER THE PERSON FILING IS A: |
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(a) |
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Broker or dealer registered under Section 15 of the Act, |
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(b) |
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Bank as defined in Section 3(a)(6) of the Act, |
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(c) |
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Insurance Company as defined in Section 3(a)(19) of the Act, |
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(d) |
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Investment Company registered under Section 8 of the Investment
Company Act of 1940, |
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(e) |
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An investment adviser in accordance with Rule
13d-1(b)(1)(ii)(E); |
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(f) |
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Employee Benefit Plan or Endowment Fund in accordance with Rule
13d-1(b)(1)(ii)(F), |
| CUSIP No. 04546C205 |
13G/A |
Page
5
of 7 Pages |
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(g) |
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Parent Holding Company or control person in accordance with Rule
13d-1(b)(1)(ii)(G), |
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(h) |
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Savings Association as defined in Section 3(b) of the Federal
Deposit Insurance Act, |
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(i) |
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A church plan that is excluded from the definition of an investment
company under Section 3(c)(14) of the Investment Company Act; |
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(j) |
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A non-U.S. institution in accordance with Rule
13d-1(b)(1)(ii)(J); |
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(k) |
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Group, in accordance with Rule 13d-1(b)(1)(ii)(K). |
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If
filing as a non-U.S. institution in accordance with Rule
13d-1(b)(1)(ii)(J), please
specify the type of institution:
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(a) |
Amount beneficially
owned: |
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As of December 31,
2021, 0. |
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(b) |
Percent of
class: |
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As of December 31,
2021, 0%. |
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(c) |
Number of shares as
to which such person has: |
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(i) |
Sole
power to vote or to direct the vote |
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0 |
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(ii) |
Shared
power to vote or to direct the vote |
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See Item
4(a) |
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(iii) |
Sole power
to dispose or to direct the disposition of |
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0 |
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(iv) |
Shared
power to dispose or to direct the disposition of |
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See Item
4(a) |
| Item
5. |
OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS. |
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If this
statement is being filed to report the fact that as of the date
hereof the reporting person has ceased to be the beneficial owner
of more than five percent of the class of securities, check the
following: x |
| Item
6. |
OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER
PERSON. |
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Not
applicable. |
| CUSIP No. 04546C205 |
13G/A |
Page
6
of 7 Pages |
| Item
7. |
IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH
ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING
COMPANY. |
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Not
applicable. |
| Item
8. |
IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE
GROUP. |
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Not
applicable. |
| Item
9. |
NOTICE
OF DISSOLUTION OF GROUP. |
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Not
applicable. |
| Item
10. |
CERTIFICATION. |
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Each
Reporting Person hereby makes the following certification: |
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By signing
below the Reporting Person certifies that, to the best of its
knowledge and belief, the securities referred to above were not
acquired and are not held for the purpose of or with the effect of
changing or influencing the control of the issuer of the securities
and were not acquired and are not held in connection with or as a
participant in any transaction having that purpose or effect. |
| CUSIP No. 04546C205 |
13G/A |
Page
7
of 7 Pages |
SIGNATURES
After reasonable inquiry and to the best of our knowledge and
belief, the undersigned certifies that the information set forth in
this statement is true, complete and correct.
DATED: January 27, 2022
| HIGHBRIDGE CAPITAL
MANAGEMENT, LLC |
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| By: |
/s/ Kirk Rule |
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| Name: |
Kirk
Rule |
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| Title: |
Executive
Director |
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| HIGHBRIDGE TACTICAL
CREDIT MASTER FUND, L.P. |
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| By: |
Highbridge Capital
Management, LLC |
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its Trading
Manager |
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| By: |
/s/ Kirk Rule |
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| Name: |
Kirk
Rule |
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| Title: |
Executive
Director |
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