ASSERTIO HOLDINGS INC
COM NEW · CUSIP 04546C205
118
institutional holders
-29 vs Q3 2023
54.4m
shares reported held*
$58.2mreported value*
12 new
39 added
34 reduced
45 sold out
net bought ≈ $8.7m (+8.2m shares)
* Summed across managers. Shares that two managers' reports both contain – a subsidiary's holdings that its parent's report includes too, or a sub-adviser's in its client's – are counted once ($376.2k this quarter). Holder counts are more reliable. Implied quarter-end price ≈ $1.07. Options: 9 managers hold calls ($3.5m notional), 6 hold puts ($83.1k).
Trends to Q4 2023
Institutional holders
Managers reporting a position, each quarter
Numbers
| Quarter | Holders |
|---|---|
| Q3 2022 | 78 |
| Q4 2022 | 89 |
| Q1 2023 | 119 |
| Q2 2023 | 148 |
| Q3 2023 | 147 |
| Q4 2023 | 118 |
Buyers vs sellers
Managers adding to or starting a position, vs cutting or selling out
Bought or addedCut or sold out
Numbers
| Quarter | Bought or added | Cut or sold out |
|---|---|---|
| Q4 2022 | 60 | 25 |
| Q1 2023 | 83 | 35 |
| Q2 2023 | 102 | 59 |
| Q3 2023 | 108 | 61 |
| Q4 2023 | 51 | 79 |
Calls vs puts
Options held, notional value, last 4 quarters. P/C = puts ÷ calls
CallsPuts
Numbers
| Quarter | Calls | Puts | P/C |
|---|---|---|---|
| Q1 2023 | $13.9m | $4.3m | 0.31 |
| Q2 2023 | $18.8m | $1.9m | 0.10 |
| Q3 2023 | $10.9m | $1.1m | 0.10 |
| Q4 2023 | $3.5m | $83.1k | 0.02 |
Biggest buyers
| Nantahala Capital Management, LLC | Added | +10.6m |
| ARMISTICE CAPITAL, LLC | Added | +1.9m |
| AQR CAPITAL MANAGEMENT LLC | Added | +1.7m |
| MORGAN STANLEY | Added | +753.6k |
| TWO SIGMA ADVISERS, LP | Added | +726.3k |
| BlackRock Inc. | Added | +631.1k |
| GOLDMAN SACHS GROUP INC | Added | +612.1k |
| RENAISSANCE TECHNOLOGIES LLC | Added | +585.9k |
| Senvest Management, LLC | New | +562.9k |
| VANGUARD GROUP INC | Added | +346.4k |
Biggest sellers
| CONTINENTAL GENERAL INSURANCE CO | Sold out | -2.1m |
| THOMPSON SIEGEL & WALMSLEY LLC | Sold out | -1.2m |
| J. Goldman & Co LP | Sold out | -1.1m |
| Stonepine Capital Management, LLC | Sold out | -951.2k |
| AIGH Capital Management LLC | Sold out | -943.9k |
| AMERICAN CENTURY COMPANIES INC | Sold out | -591.4k |
| Squarepoint Ops LLC | Reduced | -530.3k |
| KENNEDY CAPITAL MANAGEMENT LLC | Reduced | -498.2k |
| WELLS FARGO & COMPANY/MN | Reduced | -350.1k |
| Strategic Investment Solutions, Inc. /IL | Reduced | -325.5k |
Biggest calls
| SUSQUEHANNA INTERNATIONAL GROUP, LLP | Reduced | $959.7k896.9k shares |
| UBS Group AG | Unchanged | $917.0k857.0k shares |
| GROUP ONE TRADING LLC | Reduced | $515.3k481.6k shares |
| CITADEL ADVISORS LLC | Reduced | $407.0k380.4k shares |
| Caption Management, LLC | Unchanged | $322.3k301.2k shares |
| SIMPLEX TRADING, LLC | Reduced | $263.0k246.3k shares |
| JANE STREET GROUP, LLC | Reduced | $61.4k57.4k shares |
| GTS SECURITIES LLC | Added | $36.7k34.3k shares |
| CONCOURSE FINANCIAL GROUP SECURITIES, INC. | Unchanged | $00 shares |
Biggest puts
| SIMPLEX TRADING, LLC | Reduced | $49.0k46.2k shares |
| CITADEL ADVISORS LLC | Reduced | $15.2k14.2k shares |
| SUSQUEHANNA INTERNATIONAL GROUP, LLP | Reduced | $15.2k14.2k shares |
| GROUP ONE TRADING LLC | Reduced | $2.7k2.5k shares |
| WOLVERINE ASSET MANAGEMENT LLC | Reduced | $1.1k1.0k shares |
| CONCOURSE FINANCIAL GROUP SECURITIES, INC. | Unchanged | $00 shares |
Options at notional value: the value of the shares the contracts control, as filers report them, not what the options cost. Not included in the holders, shares or buying above.
Major shareholders (over 5%)
Anyone who owns more than 5% of a class of the company's shares has to say so: on Schedule 13D if they may try to influence or control the company, on 13G if they're a passive investor, and update it as the stake changes. Each holder's latest filing, from 19 Dec 2024 on; percentages are of the share class, as the holder worked them out.
| Holder | Stake |
|---|---|
| Nantahala Capital Management, LLC 13G · institution +1.4 pts · filed 2026-04-07 | 10.7% |
Holders, Q4 2023
| Manager | Shares | Change |
|---|---|---|
| Nantahala Capital Management, LLC 0.82% of their portfolio | 15.2m $16.3m | Added +10.6m |
| BlackRock Inc. 0.00% of their portfolio | 6.6m $7.0m | Added +631.1k |
| ARMISTICE CAPITAL, LLC 0.16% of their portfolio | 5.8m $6.2m | Added +1.9m |
| VANGUARD GROUP INC 0.00% of their portfolio | 4.9m $5.2m | Added +346.4k |
| RENAISSANCE TECHNOLOGIES LLC 0.01% of their portfolio | 3.1m $3.4m | Added +585.9k |
| GEODE CAPITAL MANAGEMENT, LLC 0.00% of their portfolio | 2.0m $2.1m | Added +121.0k |
| AQR CAPITAL MANAGEMENT LLC 0.00% of their portfolio | 2.0m $2.1m | Added +1.7m |
| STATE STREET CORP 0.00% of their portfolio | 1.5m $1.6m | Added +151.1k |
| TWO SIGMA INVESTMENTS, LP 0.00% of their portfolio | 1.3m $1.3m | Added +54.2k |
| TWO SIGMA ADVISERS, LP 0.00% of their portfolio | 1.2m $1.3m | Added +726.3k |
| GOLDMAN SACHS GROUP INC 0.00% of their portfolio | 1.2m $1.3m | Added +612.1k |
| MORGAN STANLEY 0.00% of their portfolio | 1.1m $1.2m | Added +753.6k |
| NORTHERN TRUST CORP 0.00% of their portfolio | 770.9k $824.9k | Added +30.2k |
| Bank of New York Mellon Corp 0.00% of their portfolio | 668.3k $715.1k | Added +97.3k |
| BRIDGEWAY CAPITAL MANAGEMENT, LLC 0.01% of their portfolio | 650.2k $695.7k | Reduced -101.9k |
| Senvest Management, LLC 0.02% of their portfolio | 562.9k $602.3k | New |
| Perritt Capital Management Inc 0.22% of their portfolio | 373.2k $399.3k | Added +11.0k |
| Empowered Funds, LLC 0.01% of their portfolio | 351.6k $376.2k | Added +31.8k |
| CM Management, LLC 0.30% of their portfolio | 345.0k $369.1k | Added +177.4k |
| D. E. Shaw & Co., Inc. 0.00% of their portfolio | 299.9k $320.8k | Unchanged |
| KENNEDY CAPITAL MANAGEMENT LLC 0.01% of their portfolio | 295.8k $316.5k | Reduced -498.2k |
| FIRST TRUST ADVISORS LP 0.00% of their portfolio | 260.2k $278.4k | Added +10.4k |
| CHARLES SCHWAB INVESTMENT MANAGEMENT INC 0.00% of their portfolio | 244.8k $262.0k | Reduced -205.9k |
| AMERIPRISE FINANCIAL INC 0.00% of their portfolio | 236.6k $253.2k | Reduced -41.3k |
| Nuveen Asset Management, LLC 0.00% of their portfolio | 216.6k $231.8k | Added +3.5k |
| UBS Group AG 0.00% of their portfolio | 199.4k $213.3k | Reduced -44.1k |
| BANK OF AMERICA CORP /DE/ 0.00% of their portfolio | 198.7k $212.6k | Added +86.7k |
| TSP Capital Management Group, LLC 0.07% of their portfolio | 180.9k $193.6k | Added +23.1k |
| PRUDENTIAL FINANCIAL INC 0.00% of their portfolio | 154.2k $165.0k | Unchanged |
| RHUMBLINE ADVISERS 0.00% of their portfolio | 146.4k $156.6k | Added +25.0k |
| SummerHaven Investment Management, LLC 0.09% of their portfolio | 135.4k $144.8k | Added +10.5k |
| ALETHEA CAPITAL MANAGEMENT, LLC 0.17% of their portfolio | 133.8k $143.2k | Unchanged |
| BARCLAYS PLC 0.00% of their portfolio | 129.1k $138.1k | Added +106.1k |
| WINTON GROUP Ltd 0.01% of their portfolio | 128.4k $137.3k | Reduced -20.2k |
| JPMORGAN CHASE & CO 0.00% of their portfolio | 123.1k $131.8k | Added +61.6k |
| CITADEL ADVISORS LLC 0.00% of their portfolio | 118.0k $126.2k | Added +76.1k |
| SUSQUEHANNA INTERNATIONAL GROUP, LLP 0.00% of their portfolio | 112.6k $120.4k | Reduced -25.8k |
| Invesco Ltd. 0.00% of their portfolio | 105.9k $113.3k | Reduced -143.8k |
| ALPS ADVISORS INC 0.00% of their portfolio | 104.6k $112.0k | Reduced -6.0k |
| Squarepoint Ops LLC 0.00% of their portfolio | 79.8k $85.3k | Reduced -530.3k |
| US BANCORP \DE\ 0.00% of their portfolio | 69.4k $74.2k | Unchanged |
| HRT FINANCIAL LP 0.00% of their portfolio | 67.1k $71.0k | New |
| DIMENSIONAL FUND ADVISORS LP 0.00% of their portfolio | 66.0k $70.6k | Unchanged |
| JANE STREET GROUP, LLC 0.00% of their portfolio | 60.9k $65.2k | Reduced -99.4k |
| SG Americas Securities, LLC 0.00% of their portfolio | 55.8k $60.0k | Added +17.4k |
| NewEdge Advisors, LLC 0.00% of their portfolio | 55.7k $59.6k | Added +20.0k |
| FRANKLIN RESOURCES INC 0.00% of their portfolio | 53.0k $56.7k | Reduced -1.0k |
| Engineers Gate Manager LP 0.00% of their portfolio | 49.1k $52.5k | Added +38.8k |
| LPL Financial LLC 0.00% of their portfolio | 45.9k $49.1k | Added +5.7k |
| MILLENNIUM MANAGEMENT LLC 0.00% of their portfolio | 45.8k $49.0k | Reduced -177.0k |
| Qube Research & Technologies Ltd 0.00% of their portfolio | 45.4k $48.6k | Reduced -38.2k |
| ALLIANCEBERNSTEIN L.P. 0.00% of their portfolio | 45.3k $48.5k | Unchanged |
| Sargent Investment Group, LLC 0.01% of their portfolio | 44.9k $48.0k | Reduced -35.7k |
| Caption Management, LLC 0.01% of their portfolio | 44.2k $47.3k | Reduced -49.8k |
| AMERICAN INTERNATIONAL GROUP, INC. 0.00% of their portfolio | 44.1k $47.2k | Reduced -178 |
| DENALI ADVISORS LLC 0.01% of their portfolio | 42.7k $45.7k | Unchanged |
| State of Wyoming 0.01% of their portfolio | 37.7k $40.4k | New |
| VOYA INVESTMENT MANAGEMENT LLC 0.00% of their portfolio | 36.9k $39.5k | Added +1.6k |
| Cubist Systematic Strategies, LLC 0.00% of their portfolio | 33.6k $36.0k | New |
| ROYAL BANK OF CANADA 0.00% of their portfolio | 32.3k $34.0k | Reduced -16.9k |
| CITIGROUP INC 0.00% of their portfolio | 30.1k $32.2k | Added +20.1k |
| WELLS FARGO & COMPANY/MN 0.00% of their portfolio | 29.5k $31.5k | Reduced -350.1k |
| HighTower Advisors, LLC 0.00% of their portfolio | 26.4k $23.0k | Reduced -5.1k |
| Gotham Asset Management, LLC 0.00% of their portfolio | 26.3k $28.1k | Reduced -1.2k |
| STATE BOARD OF ADMINISTRATION OF FLORIDA RETIREMENT SYSTEM 0.00% of their portfolio | 25.4k $27.1k | Unchanged |
| Virtu Financial LLC 0.00% of their portfolio | 23.2k $25.0k | New |
| NEW YORK STATE COMMON RETIREMENT FUND 0.00% of their portfolio | 22.4k $24.0k | Reduced -155 |
| PRICE T ROWE ASSOCIATES INC /MD/ 0.00% of their portfolio | 21.0k $23.0k | Added +1.6k |
| Cambridge Investment Research Advisors, Inc. 0.00% of their portfolio | 19.9k $21.0k | Added +1.9k |
| WEXFORD CAPITAL LP 0.00% of their portfolio | 19.2k $20.6k | New |
| MANUFACTURERS LIFE INSURANCE COMPANY, THE 0.00% of their portfolio | 17.2k $18.4k | Reduced -14.2k |
| TWO SIGMA SECURITIES, LLC 0.00% of their portfolio | 17.1k $18.3k | Reduced -3.1k |
| ProShare Advisors LLC 0.00% of their portfolio | 14.7k $15.7k | Added +3.2k |
| CALIFORNIA STATE TEACHERS RETIREMENT SYSTEM 0.00% of their portfolio | 14.6k $15.6k | Reduced -5.0k |
| SIMPLEX TRADING, LLC 0.00% of their portfolio | 13.8k $14.0k | New |
| FOCUS FINANCIAL NETWORK INC /ADV 0.00% of their portfolio | 13.0k $13.9k | First filing |
| STRS OHIO 0.00% of their portfolio | 13.0k $13.0k | Unchanged |
| MISSION WEALTH MANAGEMENT, LP 0.00% of their portfolio | 12.8k $13.7k | Unchanged |
| Janney Montgomery Scott LLC 0.00% of their portfolio | 12.6k $13.0k | Reduced -14.8k |
| Dynamic Advisor Solutions LLC 0.00% of their portfolio | 12.5k $12.8k | Unchanged |
| Williams & Novak, LLC 0.02% of their portfolio | 12.5k $13.4k | First filing |
| ROYCE & ASSOCIATES LP 0.00% of their portfolio | 11.5k $12.3k | Unchanged |
| PRINCIPAL FINANCIAL GROUP INC 0.00% of their portfolio | 11.2k $11.9k | Reduced -1.3k |
| Russell Investments Group, Ltd. 0.00% of their portfolio | 10.6k $11.3k | Reduced -11.4k |
| Legal & General Group Plc 0.00% of their portfolio | 10.2k $10.9k | Unchanged |
| Tower Research Capital LLC (TRC) 0.00% of their portfolio | 8.8k $9.4k | Added +3.2k |
| Ameritas Investment Partners, Inc. 0.00% of their portfolio | 8.2k $8.7k | Unchanged |
| FMR LLC 0.00% of their portfolio | 7.0k $7.5k | Added +5.7k |
| AMALGAMATED BANK 0.00% of their portfolio | 6.5k $7.0k | Reduced -554 |
| Point72 Middle East FZE 0.00% of their portfolio | 6.2k $6.6k | New |
| Strategic Investment Solutions, Inc. /IL 0.00% of their portfolio | 5.2k $5.6k | Reduced -325.5k |
| DEUTSCHE BANK AG\ 0.00% of their portfolio | 3.1k $3.3k | Reduced -37.8k |
| Parallel Advisors, LLC 0.00% of their portfolio | 2.5k $2.7k | Unchanged |
| OSAIC HOLDINGS, INC. 0.00% of their portfolio | 2.3k $2.5k | Reduced -21.3k |
| Focused Wealth Management, Inc 0.00% of their portfolio | 2.1k $2.2k | Unchanged |
| Headlands Technologies LLC 0.00% of their portfolio | 1.3k $1.4k | Added +1.2k |
| Truvestments Capital LLC 0.00% of their portfolio | 572 $612 | Reduced -976 |
| FEDERATED HERMES, INC. 0.00% of their portfolio | 460 $492 | Added +132 |
| Key Financial Inc 0.00% of their portfolio | 445 $476 | Unchanged |
| Steward Partners Investment Advisory, LLC 0.00% of their portfolio | 401 $429 | Unchanged |