ASSERTIO HOLDINGS INC
COM NEW · CUSIP 04546C205
86
institutional holders
-18 vs Q2 2024
29.3m
shares reported held*
$34.6mreported value*
12 new
13 added
30 reduced
32 sold out
net sold ≈ $18.5m (-15.7m 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 ($509.7k this quarter). Holder counts are more reliable. Implied quarter-end price ≈ $1.18. Options: 6 managers hold calls ($2.1m notional), 6 hold puts ($116.7k).
Trends to Q3 2024
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 |
| Q1 2024 | 105 |
| Q2 2024 | 104 |
| Q3 2024 | 86 |
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 |
| Q1 2024 | 39 | 63 |
| Q2 2024 | 45 | 62 |
| Q3 2024 | 25 | 62 |
Calls vs puts
Options held, notional value, last 4 quarters. P/C = puts ÷ calls
CallsPuts
Numbers
| Quarter | Calls | Puts | P/C |
|---|---|---|---|
| Q4 2023 | $3.5m | $83.1k | 0.02 |
| Q1 2024 | $897.4k | $268.0k | 0.30 |
| Q2 2024 | $1.6m | $67.9k | 0.04 |
| Q3 2024 | $2.1m | $116.7k | 0.05 |
Biggest buyers
| RENAISSANCE TECHNOLOGIES LLC | Added | +856.3k |
| XTX Topco Ltd | New | +171.8k |
| GSA CAPITAL PARTNERS LLP | New | +150.0k |
| MORGAN STANLEY | Added | +113.9k |
| BRIDGEWAY CAPITAL MANAGEMENT, LLC | Added | +88.7k |
| AJOVista, LLC | New | +54.4k |
| GEODE CAPITAL MANAGEMENT, LLC | Added | +42.8k |
| THURSTON, SPRINGER, MILLER, HERD & TITAK, INC. | Added | +38.0k |
| CAPTRUST FINANCIAL ADVISORS | New | +22.4k |
| Empowered Funds, LLC | Added | +22.0k |
Biggest sellers
| Nantahala Capital Management, LLC | Reduced | -9.6m |
| Russell Investments Group, Ltd. | Reduced | -1.5m |
| GOLDMAN SACHS GROUP INC | Reduced | -1.1m |
| AQR CAPITAL MANAGEMENT LLC | Reduced | -1.0m |
| MILLENNIUM MANAGEMENT LLC | Reduced | -574.0k |
| NORTHERN TRUST CORP | Reduced | -511.6k |
| SUSQUEHANNA INTERNATIONAL GROUP, LLP | Reduced | -314.2k |
| CITADEL ADVISORS LLC | Sold out | -284.0k |
| JANE STREET GROUP, LLC | Reduced | -277.9k |
| FIRST TRUST ADVISORS LP | Sold out | -267.3k |
Biggest calls
| SUSQUEHANNA INTERNATIONAL GROUP, LLP | Added | $763.1k646.7k shares |
| GROUP ONE TRADING LLC | Added | $674.0k571.2k shares |
| SIMPLEX TRADING, LLC | Added | $332.0k281.9k shares |
| CITADEL ADVISORS LLC | Added | $305.3k258.7k shares |
| GTS SECURITIES LLC | Added | $61.1k51.8k shares |
| CONCOURSE FINANCIAL GROUP SECURITIES, INC. | Unchanged | $00 shares |
Biggest puts
| GROUP ONE TRADING LLC | Added | $65.3k55.3k shares |
| CITADEL ADVISORS LLC | Added | $24.1k20.4k shares |
| SUSQUEHANNA INTERNATIONAL GROUP, LLP | Reduced | $20.2k17.1k shares |
| SIMPLEX TRADING, LLC | Reduced | $6.0k5.5k shares |
| WOLVERINE ASSET MANAGEMENT LLC | Unchanged | $1.2k1.0k 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, Q3 2024
| Manager | Shares | Change |
|---|---|---|
| Nantahala Capital Management, LLC 0.89% of their portfolio | 8.9m $10.6m | Reduced -9.6m |
| VANGUARD GROUP INC 0.00% of their portfolio | 4.5m $5.3m | Unchanged |
| RENAISSANCE TECHNOLOGIES LLC 0.01% of their portfolio | 3.2m $3.8m | Added +856.3k |
| BlackRock, Inc. 0.00% of their portfolio | 1.4m $1.7m | First filing |
| AQR CAPITAL MANAGEMENT LLC 0.00% of their portfolio | 1.3m $1.5m | Reduced -1.0m |
| MILLENNIUM MANAGEMENT LLC 0.00% of their portfolio | 1.2m $1.4m | Reduced -574.0k |
| GEODE CAPITAL MANAGEMENT, LLC 0.00% of their portfolio | 1.1m $1.3m | Added +42.8k |
| TWO SIGMA INVESTMENTS, LP 0.00% of their portfolio | 876.0k $1.0m | Reduced -83.9k |
| TWO SIGMA ADVISERS, LP 0.00% of their portfolio | 745.3k $879.5k | Reduced -229.2k |
| MORGAN STANLEY 0.00% of their portfolio | 706.2k $833.4k | Added +113.9k |
| Russell Investments Group, Ltd. 0.00% of their portfolio | 661.4k $780.4k | Reduced -1.5m |
| Invesco Ltd. 0.00% of their portfolio | 566.4k $668.4k | Added +2.3k |
| BRIDGEWAY CAPITAL MANAGEMENT, LLC 0.01% of their portfolio | 498.6k $588.3k | Added +88.7k |
| Empowered Funds, LLC 0.01% of their portfolio | 431.9k $509.7k | Added +22.0k |
| Perritt Capital Management Inc 0.24% of their portfolio | 390.1k $460.4k | Reduced -36.7k |
| STATE STREET CORP 0.00% of their portfolio | 339.3k $400.4k | Unchanged |
| CM Management, LLC 0.31% of their portfolio | 325.0k $383.5k | Reduced -25.0k |
| Bank of New York Mellon Corp 0.00% of their portfolio | 289.3k $341.4k | Reduced -62.4k |
| TSP Capital Management Group, LLC 0.08% of their portfolio | 216.6k $255.6k | Reduced -1.7k |
| NORTHERN TRUST CORP 0.00% of their portfolio | 187.3k $221.0k | Reduced -511.6k |
| Palumbo Wealth Management LLC 0.09% of their portfolio | 186.0k $219.4k | Added +15.9k |
| SUSQUEHANNA INTERNATIONAL GROUP, LLP 0.00% of their portfolio | 176.1k $207.8k | Reduced -314.2k |
| XTX Topco Ltd 0.01% of their portfolio | 171.8k $202.8k | New |
| GSA CAPITAL PARTNERS LLP 0.01% of their portfolio | 150.0k $177.0k | New |
| JANE STREET GROUP, LLC 0.00% of their portfolio | 128.7k $151.8k | Reduced -277.9k |
| ALETHEA CAPITAL MANAGEMENT, LLC 0.11% of their portfolio | 128.4k $151.6k | Unchanged |
| ROYCE & ASSOCIATES LP 0.00% of their portfolio | 75.8k $89.5k | Unchanged |
| Aster Capital Management (DIFC) Ltd 0.02% of their portfolio | 70.3k $82.9k | First filing |
| Point72 Asia (Singapore) Pte. Ltd. 0.02% of their portfolio | 67.9k $80.2k | Reduced -52.2k |
| DIMENSIONAL FUND ADVISORS LP 0.00% of their portfolio | 64.3k $75.9k | Unchanged |
| AJOVista, LLC 0.27% of their portfolio | 54.4k $64.1k | New |
| NewEdge Advisors, LLC 0.00% of their portfolio | 52.0k $61.3k | Reduced -1.5k |
| THURSTON, SPRINGER, MILLER, HERD & TITAK, INC. 0.02% of their portfolio | 50.5k $59.6k | Added +38.0k |
| Qube Research & Technologies Ltd 0.00% of their portfolio | 40.7k $48.0k | Reduced -92.0k |
| CHARLES SCHWAB INVESTMENT MANAGEMENT INC 0.00% of their portfolio | 40.1k $47.4k | Unchanged |
| Cambridge Investment Research Advisors, Inc. 0.00% of their portfolio | 38.0k $45.0k | Reduced -555 |
| FMR LLC 0.00% of their portfolio | 31.3k $36.9k | Added +1.8k |
| Squarepoint Ops LLC 0.00% of their portfolio | 31.0k $36.5k | Reduced -13.0k |
| LPL Financial LLC 0.00% of their portfolio | 29.6k $34.9k | Reduced -1.1k |
| Catalyst Funds Management Pty Ltd 0.01% of their portfolio | 23.3k $27.5k | Unchanged |
| HighTower Advisors, LLC 0.00% of their portfolio | 23.0k $21.0k | Reduced -125 |
| CAPTRUST FINANCIAL ADVISORS 0.00% of their portfolio | 22.4k $26.4k | New |
| GOLDMAN SACHS GROUP INC 0.00% of their portfolio | 21.5k $25.4k | Reduced -1.1m |
| JPMORGAN CHASE & CO 0.00% of their portfolio | 21.0k $24.7k | Reduced -8.3k |
| MINDSET WEALTH MANAGEMENT, LLC 0.01% of their portfolio | 20.8k $24.6k | First filing |
| BANK OF AMERICA CORP /DE/ 0.00% of their portfolio | 20.0k $23.6k | Reduced -38.9k |
| Vanguard Personalized Indexing Management, LLC 0.00% of their portfolio | 17.8k $21.0k | Reduced -455 |
| UBS Group AG 0.00% of their portfolio | 17.1k $20.2k | Reduced -42.8k |
| HRT FINANCIAL LP 0.00% of their portfolio | 16.5k $19.0k | Reduced -1.8k |
| GROUP ONE TRADING LLC 0.00% of their portfolio | 15.9k $18.8k | New |
| Sargent Investment Group, LLC 0.00% of their portfolio | 15.3k $18.1k | Reduced -641 |
| Abel Hall, LLC 0.01% of their portfolio | 14.1k $16.6k | Unchanged |
| Williams & Novak, LLC 0.01% of their portfolio | 12.5k $14.8k | Unchanged |
| ALGERT GLOBAL LLC 0.00% of their portfolio | 11.1k $13.1k | New |
| Engineers Gate Manager LP 0.00% of their portfolio | 11.0k $13.0k | New |
| Janney Montgomery Scott LLC 0.00% of their portfolio | 10.0k $12.0k | New |
| Cubist Systematic Strategies, LLC 0.00% of their portfolio | 8.6k $10.2k | New |
| BARCLAYS PLC 0.00% of their portfolio | 6.4k $7.5k | Reduced -20.5k |
| Strategic Investment Solutions, Inc. /IL 0.00% of their portfolio | 5.2k $6.2k | New |
| OSAIC HOLDINGS, INC. 0.00% of their portfolio | 5.1k $6.0k | Added +200 |
| Caption Management, LLC 0.00% of their portfolio | 2.6k $3.1k | Unchanged |
| Parallel Advisors, LLC 0.00% of their portfolio | 2.5k $2.9k | Unchanged |
| WELLS FARGO & COMPANY/MN 0.00% of their portfolio | 1.3k $1.5k | Unchanged |
| RHUMBLINE ADVISERS 0.00% of their portfolio | 1.1k $1.3k | Reduced -9.6k |
| NATIONAL BANK OF CANADA /FI/ 0.00% of their portfolio | 1.1k $1.3k | Added +1 |
| Activest Wealth Management 0.00% of their portfolio | 750 $885 | Unchanged |
| CIBC Private Wealth Group LLC 0.00% of their portfolio | 534 $630 | Unchanged |
| Capital Advisors, Ltd. LLC 0.00% of their portfolio | 466 $1.0k | Unchanged |
| Key Financial Inc 0.00% of their portfolio | 445 $525 | Unchanged |
| Farther Finance Advisors, LLC 0.00% of their portfolio | 266 $314 | Unchanged |
| SOA Wealth Advisors, LLC. 0.00% of their portfolio | 250 $295 | Unchanged |
| EARNED WEALTH ADVISORS, LLC 0.00% of their portfolio | 250 $295 | New |
| Federation des caisses Desjardins du Quebec 0.00% of their portfolio | 196 $231 | Unchanged |
| CITIGROUP INC 0.00% of their portfolio | 184 $218 | Added +59 |
| Naples Money Management LLC 0.00% of their portfolio | 178 $210 | Unchanged |
| GeoWealth Management, LLC 0.00% of their portfolio | 172 $203 | New |
| NFSG Corp 0.00% of their portfolio | 125 $148 | Unchanged |
| Main Street Group, LTD 0.00% of their portfolio | 125 $148 | Unchanged |
| Arax Advisory Partners 0.00% of their portfolio | 105 $124 | Unchanged |
| TD Waterhouse Canada Inc. 0.00% of their portfolio | 87 $99 | Added +40 |
| First Personal Financial Services 0.00% of their portfolio | 65 $77 | Unchanged |
| UMB Bank, n.a. 0.00% of their portfolio | 35 $41 | Unchanged |
| Allworth Financial LP 0.00% of their portfolio | 35 $42 | Unchanged |
| Larson Financial Group LLC 0.00% of their portfolio | 9 $11 | Unchanged |
| CWM, LLC 0.00% of their portfolio | 2 $0 | Reduced -151 |
| CONCOURSE FINANCIAL GROUP SECURITIES, INC. 0.00% of their portfolio | 0 $0 | Unchanged |