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ASSERTIO HOLDINGS INC. 2023-2024 Proxy Voting Records

Compiled from SEC Form N-PX filings and ASSERTIO HOLDINGS INC.’s Form 8-K, filed 2024-05-30 (Item 5.07 on EDGAR). Page generated 02 October 2026.

17Reported items
123Asset managers
1,235Fund votes
2024-05-23Main meeting date

Proxy season: 2023-2024

Explore ASSERTIO HOLDINGS INC. in the interactive database Compare manager voting policies

Official 2023-2024 meeting results reported by ASSERTIO HOLDINGS INC.

These tallies are ASSERTIO HOLDINGS INC.’s own, as disclosed to the U.S. Securities and Exchange Commission on Form 8-K, filed 2024-05-30 (Item 5.07, “Submission of Matters to a Vote of Security Holders”). They cover every share voted at the meeting, not just the funds that file Form N-PX.

ASSERTIO HOLDINGS INC. — official shareholder meeting results, meeting held 2024-05-23
Ballot item	For	Against	Abstain	Withheld	Broker non-votes	Outcome
Elect Director: Peter D. Staple	40,111,675	3,612,710	304,804	--	18,030,936	Majority: yes
Elect Director: Sravan K. Emany	40,795,686	2,927,466	306,037	--	18,030,936	Majority: yes
Elect Director: Sigurd C. Kirk	40,849,191	2,888,003	291,996	--	18,030,935	Majority: yes
Elect Director: Heather L. Mason	41,021,508	2,691,152	316,530	--	18,030,935	Majority: yes
Elect Director: William T. McKee	38,466,958	5,243,305	318,925	--	18,030,937	Majority: yes
Elect Director: Jeffrey L. Vacirca	40,643,644	3,066,523	319,022	--	18,030,936	Majority: yes
Proposal 2: The stockholders of the Company approved an amendment and restatement of the Company's Amended and Restated 2014 Omnibus Incentive Plan, including to increase the number of shares available for issuance thereunder	37,774,381	5,612,232	642,574	--	18,030,938	Majority: yes
Proposal 3: The stockholders of the Company approved, on an advisory basis, the compensation of the Company's named executive officers	37,484,817	5,793,318	751,054	--	18,030,936	Majority: yes
Proposal 4: The stockholders of the Company did not approve the amendment to the Amended and Restated Certificate of Incorporation of the Company to reflect Delaware law provisions regarding officer exculpation	37,689,702	6,053,421	286,065	--	18,030,937	Majority: yes
Proposal 5: The stockholders of the Company did not approve the amendment to the Amended and Restated Certificate of Incorporation of Therapeutics to eliminate the pass-through voting provision that requires approval by both the Company and the Company's stock	41,371,946	2,296,604	360,640	--	18,030,935	Majority: yes
Proposal 6: The stockholders of the Company ratified the appointment of Grant Thornton LLP as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2024	59,767,065	2,030,348	262,712	--	0	Majority: yes

Source: ASSERTIO HOLDINGS INC., Form 8-K, filed with the SEC on 2024-05-30 — read the filing on EDGAR.

How asset managers voted at the ASSERTIO HOLDINGS INC. 2023-2024 meetings

Each item below shows how the 123 asset managers that disclosed a ASSERTIO HOLDINGS INC. vote in their SEC Form N-PX filings actually voted. Share totals are the shares those managers' funds voted, summed across every fund they report. These are reported items, not a count of the ballot: fund filings describe one ballot item in different words. Two descriptions are shown as one item only on evidence — the same text (or one cut short of the other), the same director nominee, or a match to the same row of ASSERTIO HOLDINGS INC.’s own Form 8-K tally — never because they merely read alike. A description that could not be joined that way is listed on its own, so one ballot item can appear more than once.

1. To approve, on an advisory basis, the compensation of the Company's named executive officers.

SECTION 14A SAY-ON-PAY VOTESMajority of the votes cast: yes

Meeting held 2024-05-23.

Combines 6 wordings of this item as funds reported it.

87% Majority: yes · of votes cast

FOR 87%13%

FOR: 37,484,817AGAINST: 5,793,318

ASSERTIO HOLDINGS INC.’s own tally for this item (“Proposal 3: The stockholders of the Company approved, on an advisory basis, the compensation of the Company's named executive officers”): 37,484,817 for, 5,793,318 against, per its Form 8-K filed 2024-05-30 (Item 5.07). FOR was more than half of the votes cast. Whether the item passed is for the filing to say; its statement has not been read for this item. Of all 95,124,605 outstanding shares: 39% for, 6% against (45.5% of the company cast a for/against vote).

The 105 asset managers below cast 96% of the shares they voted on this item FOR (25,850,674 for, 1,155,976 against).

FOR 96%

FOR: 25,850,674 (95.7%)AGAINST: 1,155,976 (4.3%)

Largest asset managers voting on “To approve, on an advisory basis, the compensation of the Company's named executive officers.” at ASSERTIO HOLDINGS INC., 2023-2024
Asset manager	For	Against	Vote
Nantahala Capital Management, LLC	6,932,051	0	For
Vanguard	4,930,199	0	For
BlackRock	2,982,481	0	For
Russell Investments	2,337,274	0	For
Invesco	1,417,467	0	For
GEODE CAPITAL MANAGEMENT, LLC	1,019,136	0	For
Renaissance	978,941	0	For
Fidelity	911,254	0	For
State Street	778,156	0	For
AQR	777,464	0	For
Charles Schwab	489,636	0	For
Northern Trust	418,948	105	For
Two Sigma	396,828	0	For
EA Series Trust	0	383,861	Against
MELLON INVESTMENTS Corp	0	301,645	Against
First Trust	271,582	0	For
Goldman Sachs	0	172,909	Against
QUANTITATIVE MASTER SERIES LLC	146,634	0	For
Newton Investment Management North America, LLC	0	139,328	Against
Lincoln Financial	78,700	1,864	For
Legg Mason	75,809	0	For
Royce	75,809	0	For
US BANK NATIONAL ASSOCIATION	69,384	0	For
GPS Funds I	0	68,858	Against
Equitable	63,210	0	For

Showing the 25 largest of 105 asset managers. See all 105 in the interactive database.

2. To elect the six directors named in the Proxy Statement to hold office until the 2025 Annual Meeting of Stockholders and until their successors are duly elected and qualified: Heather L. Mason

DIRECTOR ELECTIONSMajority of the votes cast: yes

Meeting held 2024-05-23.

Combines 3 wordings of this item as funds reported it.

94% Majority: yes · of votes cast

FOR 94%

FOR: 41,021,508AGAINST: 2,691,152

ASSERTIO HOLDINGS INC.’s own tally for this item (“Elect Director: Heather L. Mason”): 41,021,508 for, 2,691,152 against, per its Form 8-K filed 2024-05-30 (Item 5.07). FOR was more than half of the votes cast. Whether the item passed is for the filing to say; its statement has not been read for this item. Of all 95,124,605 outstanding shares: 43% for, 3% against (46.0% of the company cast a for/against vote).

The 38 asset managers below cast 100% of the shares they voted on this item FOR (11,780,213 for, 0 against).

FOR 100%

FOR: 11,780,213 (100.0%)

Largest asset managers voting on “To elect the six directors named in the Proxy Statement to hold office until the 2025 Annual Meeting of Stockh” at ASSERTIO HOLDINGS INC., 2023-2024
Asset manager	For	Vote
Vanguard	4,858,655	For
Russell Investments	2,337,274	For
BlackRock	1,287,261	For
Fidelity	898,431	For
Invesco	697,022	For
EA Series Trust	383,861	For
First Trust	270,177	For
Charles Schwab	244,818	For
QUANTITATIVE MASTER SERIES LLC	146,634	For
Lincoln Financial	80,564	For
Legg Mason	75,809	For
Goldman Sachs	71,567	For
GPS Funds I	68,858	For
Equitable	63,210	For
Bridge Builder Trust	40,631	For
Northern Trust	35,298	For
Pacific Life	34,051	For
Voya	29,925	For
AQR	21,675	For
Blackstone Alternative Investment Funds	17,650	For
WisdomTree	16,125	For
John Hancock	16,090	For
ProShares	14,853	For
DWS	13,254	For
Principal	10,396	For

Showing the 25 largest of 38 asset managers. See all 38 in the interactive database.

3. To elect the six directors named in the Proxy Statement to hold office until the 2025 Annual Meeting of Stockholders and until their successors are duly elected and qualified: Jeffrey L. Vacirca

DIRECTOR ELECTIONSMajority of the votes cast: yes

Meeting held 2024-05-23.

Combines 3 wordings of this item as funds reported it.

93% Majority: yes · of votes cast

FOR 93%7%

FOR: 40,643,644AGAINST: 3,066,523

ASSERTIO HOLDINGS INC.’s own tally for this item (“Elect Director: Jeffrey L. Vacirca”): 40,643,644 for, 3,066,523 against, per its Form 8-K filed 2024-05-30 (Item 5.07). FOR was more than half of the votes cast. Whether the item passed is for the filing to say; its statement has not been read for this item. Of all 95,124,605 outstanding shares: 43% for, 3% against (46.0% of the company cast a for/against vote).

The 38 asset managers below cast 100% of the shares they voted on this item FOR (11,780,213 for, 0 against).

FOR 100%

FOR: 11,780,213 (100.0%)

Largest asset managers voting on “To elect the six directors named in the Proxy Statement to hold office until the 2025 Annual Meeting of Stockh” at ASSERTIO HOLDINGS INC., 2023-2024
Asset manager	For	Vote
Vanguard	4,858,655	For
Russell Investments	2,337,274	For
BlackRock	1,287,261	For
Fidelity	898,431	For
Invesco	697,022	For
EA Series Trust	383,861	For
First Trust	270,177	For
Charles Schwab	244,818	For
QUANTITATIVE MASTER SERIES LLC	146,634	For
Lincoln Financial	80,564	For
Legg Mason	75,809	For
Goldman Sachs	71,567	For
GPS Funds I	68,858	For
Equitable	63,210	For
Bridge Builder Trust	40,631	For
Northern Trust	35,298	For
Pacific Life	34,051	For
Voya	29,925	For
AQR	21,675	For
Blackstone Alternative Investment Funds	17,650	For
WisdomTree	16,125	For
John Hancock	16,090	For
ProShares	14,853	For
DWS	13,254	For
Principal	10,396	For

Showing the 25 largest of 38 asset managers. See all 38 in the interactive database.

4. To elect the six directors named in the Proxy Statement to hold office until the 2025 Annual Meeting of Stockholders and until their successors are duly elected and qualified: Peter D. Staple

DIRECTOR ELECTIONSMajority of the votes cast: yes

Meeting held 2024-05-23.

Combines 3 wordings of this item as funds reported it.

92% Majority: yes · of votes cast

FOR 92%8%

FOR: 40,111,675AGAINST: 3,612,710

ASSERTIO HOLDINGS INC.’s own tally for this item (“Elect Director: Peter D. Staple”): 40,111,675 for, 3,612,710 against, per its Form 8-K filed 2024-05-30 (Item 5.07). FOR was more than half of the votes cast. Whether the item passed is for the filing to say; its statement has not been read for this item. Of all 95,124,605 outstanding shares: 42% for, 4% against (46.0% of the company cast a for/against vote).

The 38 asset managers below cast 97% of the shares they voted on this item FOR (11,386,029 for, 394,184 against).

FOR 97%

FOR: 11,386,029 (96.7%)AGAINST: 394,184 (3.3%)

Largest asset managers voting on “To elect the six directors named in the Proxy Statement to hold office until the 2025 Annual Meeting of Stockh” at ASSERTIO HOLDINGS INC., 2023-2024
Asset manager	For	Against	Vote
Vanguard	4,858,655	0	For
Russell Investments	2,337,274	0	For
BlackRock	1,287,261	0	For
Fidelity	898,431	0	For
Invesco	697,022	0	For
EA Series Trust	0	383,861	Against
First Trust	270,177	0	For
Charles Schwab	244,818	0	For
QUANTITATIVE MASTER SERIES LLC	146,634	0	For
Lincoln Financial	80,564	0	For
Legg Mason	75,809	0	For
Goldman Sachs	71,567	0	For
GPS Funds I	68,858	0	For
Equitable	63,210	0	For
Bridge Builder Trust	40,631	0	For
Northern Trust	35,298	0	For
Pacific Life	34,051	0	For
Voya	29,925	0	For
AQR	21,675	0	For
Blackstone Alternative Investment Funds	17,650	0	For
WisdomTree	16,125	0	For
John Hancock	16,090	0	For
ProShares	14,853	0	For
DWS	13,254	0	For
Principal	10,396	0	For

Showing the 25 largest of 38 asset managers. See all 38 in the interactive database.

5. To elect the six directors named in the Proxy Statement to hold office until the 2025 Annual Meeting of Stockholders and until their successors are duly elected and qualified: Sigurd C. Kirk

DIRECTOR ELECTIONSMajority of the votes cast: yes

Meeting held 2024-05-23.

Combines 3 wordings of this item as funds reported it.

93% Majority: yes · of votes cast

FOR 93%

FOR: 40,849,191AGAINST: 2,888,003

ASSERTIO HOLDINGS INC.’s own tally for this item (“Elect Director: Sigurd C. Kirk”): 40,849,191 for, 2,888,003 against, per its Form 8-K filed 2024-05-30 (Item 5.07). FOR was more than half of the votes cast. Whether the item passed is for the filing to say; its statement has not been read for this item. Of all 95,124,605 outstanding shares: 43% for, 3% against (46.0% of the company cast a for/against vote).

The 38 asset managers below cast 97% of the shares they voted on this item FOR (11,396,352 for, 383,861 against).

FOR 97%

FOR: 11,396,352 (96.7%)AGAINST: 383,861 (3.3%)

Largest asset managers voting on “To elect the six directors named in the Proxy Statement to hold office until the 2025 Annual Meeting of Stockh” at ASSERTIO HOLDINGS INC., 2023-2024
Asset manager	For	Against	Vote
Vanguard	4,858,655	0	For
Russell Investments	2,337,274	0	For
BlackRock	1,287,261	0	For
Fidelity	898,431	0	For
Invesco	697,022	0	For
EA Series Trust	0	383,861	Against
First Trust	270,177	0	For
Charles Schwab	244,818	0	For
QUANTITATIVE MASTER SERIES LLC	146,634	0	For
Lincoln Financial	80,564	0	For
Legg Mason	75,809	0	For
Goldman Sachs	71,567	0	For
GPS Funds I	68,858	0	For
Equitable	63,210	0	For
Bridge Builder Trust	40,631	0	For
Northern Trust	35,298	0	For
Pacific Life	34,051	0	For
Voya	29,925	0	For
AQR	21,675	0	For
Blackstone Alternative Investment Funds	17,650	0	For
WisdomTree	16,125	0	For
John Hancock	16,090	0	For
ProShares	14,853	0	For
DWS	13,254	0	For
Principal	10,396	0	For

Showing the 25 largest of 38 asset managers. See all 38 in the interactive database.

6. To elect the six directors named in the Proxy Statement to hold office until the 2025 Annual Meeting of Stockholders and until their successors are duly elected and qualified: Sravan K. Emany

DIRECTOR ELECTIONSMajority of the votes cast: yes

Meeting held 2024-05-23.

Combines 3 wordings of this item as funds reported it.

93% Majority: yes · of votes cast

FOR 93%

FOR: 40,795,686AGAINST: 2,927,466

ASSERTIO HOLDINGS INC.’s own tally for this item (“Elect Director: Sravan K. Emany”): 40,795,686 for, 2,927,466 against, per its Form 8-K filed 2024-05-30 (Item 5.07). FOR was more than half of the votes cast. Whether the item passed is for the filing to say; its statement has not been read for this item. Of all 95,124,605 outstanding shares: 43% for, 3% against (46.0% of the company cast a for/against vote).

The 38 asset managers below cast 97% of the shares they voted on this item FOR (11,396,352 for, 383,861 against).

FOR 97%

FOR: 11,396,352 (96.7%)AGAINST: 383,861 (3.3%)

Largest asset managers voting on “To elect the six directors named in the Proxy Statement to hold office until the 2025 Annual Meeting of Stockh” at ASSERTIO HOLDINGS INC., 2023-2024
Asset manager	For	Against	Vote
Vanguard	4,858,655	0	For
Russell Investments	2,337,274	0	For
BlackRock	1,287,261	0	For
Fidelity	898,431	0	For
Invesco	697,022	0	For
EA Series Trust	0	383,861	Against
First Trust	270,177	0	For
Charles Schwab	244,818	0	For
QUANTITATIVE MASTER SERIES LLC	146,634	0	For
Lincoln Financial	80,564	0	For
Legg Mason	75,809	0	For
Goldman Sachs	71,567	0	For
GPS Funds I	68,858	0	For
Equitable	63,210	0	For
Bridge Builder Trust	40,631	0	For
Northern Trust	35,298	0	For
Pacific Life	34,051	0	For
Voya	29,925	0	For
AQR	21,675	0	For
Blackstone Alternative Investment Funds	17,650	0	For
WisdomTree	16,125	0	For
John Hancock	16,090	0	For
ProShares	14,853	0	For
DWS	13,254	0	For
Principal	10,396	0	For

Showing the 25 largest of 38 asset managers. See all 38 in the interactive database.

7. To elect the six directors named in the Proxy Statement to hold office until the 2025 Annual Meeting of Stockholders and until their successors are duly elected and qualified: William T. McKee

DIRECTOR ELECTIONSMajority of the votes cast: yes

Meeting held 2024-05-23.

Combines 3 wordings of this item as funds reported it.

88% Majority: yes · of votes cast

FOR 88%12%

FOR: 38,466,958AGAINST: 5,243,305

ASSERTIO HOLDINGS INC.’s own tally for this item (“Elect Director: William T. McKee”): 38,466,958 for, 5,243,305 against, per its Form 8-K filed 2024-05-30 (Item 5.07). FOR was more than half of the votes cast. Whether the item passed is for the filing to say; its statement has not been read for this item. Of all 95,124,605 outstanding shares: 40% for, 6% against (46.0% of the company cast a for/against vote).

The 38 asset managers below cast 93% of the shares they voted on this item FOR (10,971,611 for, 808,602 against).

FOR 93%

FOR: 10,971,611 (93.1%)AGAINST: 808,602 (6.9%)

Largest asset managers voting on “To elect the six directors named in the Proxy Statement to hold office until the 2025 Annual Meeting of Stockh” at ASSERTIO HOLDINGS INC., 2023-2024
Asset manager	For	Against	Vote
Vanguard	4,858,655	0	For
Russell Investments	2,337,274	0	For
BlackRock	1,287,261	0	For
Fidelity	898,431	0	For
Invesco	697,022	0	For
EA Series Trust	0	383,861	Against
First Trust	270,177	0	For
Charles Schwab	0	244,818	Against
QUANTITATIVE MASTER SERIES LLC	146,634	0	For
Lincoln Financial	1,864	78,700	Against
Legg Mason	75,809	0	For
Goldman Sachs	71,567	0	For
GPS Funds I	68,858	0	For
Equitable	17,900	45,310	Against
Bridge Builder Trust	40,631	0	For
Northern Trust	0	35,298	Against
Pacific Life	34,051	0	For
Voya	29,925	0	For
AQR	21,675	0	For
Blackstone Alternative Investment Funds	17,650	0	For
WisdomTree	16,125	0	For
John Hancock	16,090	0	For
ProShares	14,853	0	For
DWS	13,254	0	For
Principal	10,396	0	For

Showing the 25 largest of 38 asset managers. See all 38 in the interactive database.

8. To approve an amendment and restatement of the Company's Amended and Restated 2014 Omnibus Incentive Plan, including to increase the number of shares available for issuance thereunder.

COMPENSATIONMajority of the votes cast: yes

Meeting held 2024-05-23.

Combines 3 wordings of this item as funds reported it.

87% Majority: yes · of votes cast

FOR 87%13%

FOR: 37,774,381AGAINST: 5,612,232

ASSERTIO HOLDINGS INC.’s own tally for this item (“Proposal 2: The stockholders of the Company approved an amendment and restatement of the Company's Amended and Restated 2014 Omnibus Incentive Plan, including to increase the number of shares available for issuance there”): 37,774,381 for, 5,612,232 against, per its Form 8-K filed 2024-05-30 (Item 5.07). FOR was more than half of the votes cast. Whether the item passed is for the filing to say; its statement has not been read for this item. Of all 95,124,605 outstanding shares: 40% for, 6% against (45.6% of the company cast a for/against vote).

The 38 asset managers below cast 99.2% of the shares they voted on this item FOR (11,689,282 for, 90,931 against).

FOR 99.2%

FOR: 11,689,282 (99.2%)AGAINST: 90,931 (0.8%)

Largest asset managers voting on “To approve an amendment and restatement of the Company's Amended and Restated 2014 Omnibus Incentive Plan, inc” at ASSERTIO HOLDINGS INC., 2023-2024
Asset manager	For	Against	Vote
Vanguard	4,858,655	0	For
Russell Investments	2,337,274	0	For
BlackRock	1,287,261	0	For
Fidelity	898,431	0	For
Invesco	697,022	0	For
EA Series Trust	383,861	0	For
First Trust	270,177	0	For
Charles Schwab	244,818	0	For
QUANTITATIVE MASTER SERIES LLC	146,634	0	For
Lincoln Financial	80,564	0	For
Legg Mason	75,809	0	For
Goldman Sachs	71,567	0	For
GPS Funds I	68,858	0	For
Equitable	17,900	45,310	Against
Bridge Builder Trust	40,631	0	For
Northern Trust	0	35,298	Against
Pacific Life	34,051	0	For
Voya	29,925	0	For
AQR	21,675	0	For
Blackstone Alternative Investment Funds	17,650	0	For
WisdomTree	16,125	0	For
John Hancock	16,090	0	For
ProShares	14,853	0	For
DWS	13,254	0	For
Principal	10,396	0	For

Showing the 25 largest of 38 asset managers. See all 38 in the interactive database.

9. To approve an amendment to the Certificate of Incorporation of Assertio Therapeutics, Inc., a wholly-owned subsidiary of the Company, to eliminate the pass-through voting provision.

CORPORATE GOVERNANCEMajority of the votes cast: yes

Meeting held 2024-05-23.

Combines 2 wordings of this item as funds reported it.

95% Majority: yes · of votes cast

FOR 95%

FOR: 41,371,946AGAINST: 2,296,604

ASSERTIO HOLDINGS INC.’s own tally for this item (“Proposal 5: The stockholders of the Company did not approve the amendment to the Amended and Restated Certificate of Incorporation of Therapeutics to eliminate the pass-through voting provision that requires approval by ”): 41,371,946 for, 2,296,604 against, per its Form 8-K filed 2024-05-30 (Item 5.07). FOR was more than half of the votes cast. Whether the item passed is for the filing to say; its statement has not been read for this item. Of all 95,124,605 outstanding shares: 43% for, 2% against (45.9% of the company cast a for/against vote).

The 38 asset managers below cast 100% of the shares they voted on this item FOR (11,780,213 for, 0 against).

FOR 100%

FOR: 11,780,213 (100.0%)

Largest asset managers voting on “To approve an amendment to the Certificate of Incorporation of Assertio Therapeutics, Inc., a wholly-owned sub” at ASSERTIO HOLDINGS INC., 2023-2024
Asset manager	For	Vote
Vanguard	4,858,655	For
Russell Investments	2,337,274	For
BlackRock	1,287,261	For
Fidelity	898,431	For
Invesco	697,022	For
EA Series Trust	383,861	For
First Trust	270,177	For
Charles Schwab	244,818	For
QUANTITATIVE MASTER SERIES LLC	146,634	For
Lincoln Financial	80,564	For
Legg Mason	75,809	For
Goldman Sachs	71,567	For
GPS Funds I	68,858	For
Equitable	63,210	For
Bridge Builder Trust	40,631	For
Northern Trust	35,298	For
Pacific Life	34,051	For
Voya	29,925	For
AQR	21,675	For
Blackstone Alternative Investment Funds	17,650	For
WisdomTree	16,125	For
John Hancock	16,090	For
ProShares	14,853	For
DWS	13,254	For
Principal	10,396	For

Showing the 25 largest of 38 asset managers. See all 38 in the interactive database.

10. To approve an amendment to the Company's Certificate of Incorporation to reflect recently adopted Delaware law provisions regarding officer exculpation.

CORPORATE GOVERNANCEMajority of the votes cast: yes

Meeting held 2024-05-23.

Combines 3 wordings of this item as funds reported it.

86% Majority: yes · of votes cast

FOR 86%14%

FOR: 37,689,702AGAINST: 6,053,421

ASSERTIO HOLDINGS INC.’s own tally for this item (“Proposal 4: The stockholders of the Company did not approve the amendment to the Amended and Restated Certificate of Incorporation of the Company to reflect Delaware law provisions regarding officer exculpation”): 37,689,702 for, 6,053,421 against, per its Form 8-K filed 2024-05-30 (Item 5.07). FOR was more than half of the votes cast. Whether the item passed is for the filing to say; its statement has not been read for this item. Of all 95,124,605 outstanding shares: 40% for, 6% against (46.0% of the company cast a for/against vote).

The 38 asset managers below cast 80% of the shares they voted on this item FOR (9,439,454 for, 2,340,759 against).

FOR 80%AGAINST 20%

FOR: 9,439,454 (80.1%)AGAINST: 2,340,759 (19.9%)

Largest asset managers voting on “To approve an amendment to the Company's Certificate of Incorporation to reflect recently adopted Delaware law” at ASSERTIO HOLDINGS INC., 2023-2024
Asset manager	For	Against	Vote
Vanguard	4,858,655	0	For
Russell Investments	0	2,337,274	Against
BlackRock	1,287,261	0	For
Fidelity	898,431	0	For
Invesco	697,022	0	For
EA Series Trust	383,861	0	For
First Trust	270,177	0	For
Charles Schwab	244,818	0	For
QUANTITATIVE MASTER SERIES LLC	146,634	0	For
Lincoln Financial	80,564	0	For
Legg Mason	75,809	0	For
Goldman Sachs	71,567	0	For
GPS Funds I	68,858	0	For
Equitable	63,210	0	For
Bridge Builder Trust	40,631	0	For
Northern Trust	35,298	0	For
Pacific Life	34,051	0	For
Voya	29,925	0	For
AQR	21,675	0	For
Blackstone Alternative Investment Funds	17,650	0	For
WisdomTree	16,125	0	For
John Hancock	16,090	0	For
ProShares	14,853	0	For
DWS	13,254	0	For
Principal	10,396	0	For

Showing the 25 largest of 38 asset managers. See all 38 in the interactive database.

11. To ratify the appointment of Grant Thornton LLP as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2024.

AUDIT-RELATEDMajority of the votes cast: yes

Meeting held 2024-05-23.

Combines 3 wordings of this item as funds reported it.

97% Majority: yes · of votes cast

FOR 97%

FOR: 59,767,065AGAINST: 2,030,348

ASSERTIO HOLDINGS INC.’s own tally for this item (“Proposal 6: The stockholders of the Company ratified the appointment of Grant Thornton LLP as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2024”): 59,767,065 for, 2,030,348 against, per its Form 8-K filed 2024-05-30 (Item 5.07). FOR was more than half of the votes cast. Whether the item passed is for the filing to say; its statement has not been read for this item. Of all 95,124,605 outstanding shares: 63% for, 2% against (65% of the company cast a for/against vote).

The 38 asset managers below cast 97% of the shares they voted on this item FOR (11,396,352 for, 383,861 against).

FOR 97%

FOR: 11,396,352 (96.7%)AGAINST: 383,861 (3.3%)

Largest asset managers voting on “To ratify the appointment of Grant Thornton LLP as the Company's independent registered public accounting firm” at ASSERTIO HOLDINGS INC., 2023-2024
Asset manager	For	Against	Vote
Vanguard	4,858,655	0	For
Russell Investments	2,337,274	0	For
BlackRock	1,287,261	0	For
Fidelity	898,431	0	For
Invesco	697,022	0	For
EA Series Trust	0	383,861	Against
First Trust	270,177	0	For
Charles Schwab	244,818	0	For
QUANTITATIVE MASTER SERIES LLC	146,634	0	For
Lincoln Financial	80,564	0	For
Legg Mason	75,809	0	For
Goldman Sachs	71,567	0	For
GPS Funds I	68,858	0	For
Equitable	63,210	0	For
Bridge Builder Trust	40,631	0	For
Northern Trust	35,298	0	For
Pacific Life	34,051	0	For
Voya	29,925	0	For
AQR	21,675	0	For
Blackstone Alternative Investment Funds	17,650	0	For
WisdomTree	16,125	0	For
John Hancock	16,090	0	For
ProShares	14,853	0	For
DWS	13,254	0	For
Principal	10,396	0	For

Showing the 25 largest of 38 asset managers. See all 38 in the interactive database.

12. To approve the adjournment of the Assertio special meeting, if necessary or appropriate, to solicit additional proxies if there are insufficient votes at the time of the Assertio 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, which proposa

CORPORATE GOVERNANCE

Meeting held 2023-07-27; no official results are on file for this meeting.

Combines 2 wordings of this item as funds reported it.

99.5% fund support · no official result

FOR 99.5%

The 20 asset managers below cast 99.5% of the shares they voted on this item FOR (3,090,623 for, 14,539 against).

FOR: 3,090,623 (99.5%)AGAINST: 14,539 (0.5%)

Largest asset managers voting on “To approve the adjournment of the Assertio special meeting, if necessary or appropriate, to solicit additional” at ASSERTIO HOLDINGS INC., 2023-2024
Asset manager	For	Against	Vote
FIRST EAGLE FUNDS	905,174	0	For
Vanguard	628,387	0	For
Invesco	538,124	0	For
BRIDGEWAY FUNDS INC	534,050	0	For
American Century	210,098	0	For
BlackRock	97,167	0	For
Legg Mason	50,108	0	For
Lattice Strategies Trust	43,552	0	For
FORUM FUNDS II	33,801	0	For
BNY Mellon	28,123	0	For
Fidelity	0	9,536	Against
ALPS ETF Trust	5,492	0	For
Victory Capital	5,207	0	For
Lazard	0	5,003	Against
Equitable	2,909	0	For
Blackstone Alternative Investment Funds	2,750	0	For
Northern Trust	2,602	0	For
AIG/SunAmerica	1,703	0	For
Nationwide	1,376	0	For
WisdomTree	0	0	--

13. To approve the issuance of shares of Assertio common stock to the stockholders of Spectrum Pharmaceuticals, Inc., which is referred to as "Spectrum," in connection with the merger contemplated by the Agreement and Plan of Merger, dated April 24, 2023, as it may be amended from time to time, which is referred to as the "Merger Agreement," by and among Assertio, Spade Merger Sub 1, Inc., a wholly ow

EXTRAORDINARY TRANSACTIONS

Meeting held 2023-07-27; no official results are on file for this meeting.

Combines 2 wordings of this item as funds reported it.

100% fund support · no official result

FOR 100%

The 20 asset managers below cast 100% of the shares they voted on this item FOR (3,105,162 for, 0 against).

FOR: 3,105,162 (100.0%)

Largest asset managers voting on “To approve the issuance of shares of Assertio common stock to the stockholders of Spectrum Pharmaceuticals, In” at ASSERTIO HOLDINGS INC., 2023-2024
Asset manager	For	Vote
FIRST EAGLE FUNDS	905,174	For
Vanguard	628,387	For
Invesco	538,124	For
BRIDGEWAY FUNDS INC	534,050	For
American Century	210,098	For
BlackRock	97,167	For
Legg Mason	50,108	For
Lattice Strategies Trust	43,552	For
FORUM FUNDS II	33,801	For
BNY Mellon	28,123	For
Fidelity	9,536	For
ALPS ETF Trust	5,492	For
Victory Capital	5,207	For
Lazard	5,003	For
Equitable	2,909	For
Blackstone Alternative Investment Funds	2,750	For
Northern Trust	2,602	For
AIG/SunAmerica	1,703	For
Nationwide	1,376	For
WisdomTree	0	--

14. 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.

CORPORATE GOVERNANCE

Meeting held 2023-07-27; no official results are on file for this meeting.

100% fund support · no official result

FOR 100%

The 7 asset managers below cast 100% of the shares they voted on this item FOR (484,481 for, 0 against).

FOR: 484,481 (100.0%)

Largest asset managers voting on “To approve the adjournment of the special meeting, if necessary or appropriate, to solicit additional proxies ” at ASSERTIO HOLDINGS INC., 2023-2024
Asset manager	For	Vote
EA Series Trust	197,443	For
SEI	171,794	For
LOCORR INVESTMENT TRUST	74,850	For
Charles Schwab	23,152	For
RBC FUNDS TRUST	16,100	For
Managed Portfolio Series	635	For
John Hancock	507	For

15. To approve the issuance of shares of common stock, par value $0.0001 per share, of Assertio ("Assertio common stock") to the stockholders of Spectrum Pharmaceuticals, Inc. ("Spectrum") in connection with the merger contemplated by the Agreement & Plan of Merger, dated April 24, 2023, as it may be amended from time to time, by and among Assertio, Spade Merger Sub 1, Inc., and Spectrum, including th

CORPORATE GOVERNANCE

Meeting held 2023-07-27; no official results are on file for this meeting.

Combines 2 wordings of this item as funds reported it.

100% fund support · no official result

FOR 100%

The 7 asset managers below cast 100% of the shares they voted on this item FOR (484,481 for, 0 against).

FOR: 484,481 (100.0%)

Largest asset managers voting on “To approve the issuance of shares of common stock, par value $0.0001 per share, of Assertio ("Assertio common ” at ASSERTIO HOLDINGS INC., 2023-2024
Asset manager	For	Vote
EA Series Trust	197,443	For
SEI	171,794	For
LOCORR INVESTMENT TRUST	74,850	For
Charles Schwab	23,152	For
RBC FUNDS TRUST	16,100	For
Managed Portfolio Series	635	For
John Hancock	507	For

16. Annual

AUDIT-RELATED

Meeting held 2024-05-23.

100% fund support · no official result

FOR 100%

The 2 asset managers below cast 100% of the shares they voted on this item FOR (637,767 for, 0 against).

FOR: 637,767 (100.0%)

Largest asset managers voting on “Annual” at ASSERTIO HOLDINGS INC., 2023-2024
Asset manager	For	Against	Abstain	Withheld	Vote
PERRITT CAPITAL MANAGEMENT INC	366,517	0	0	0	For
PERRITT FUNDS INC	271,250	0	0	0	For

17. Special

CAPITAL STRUCTURE

Meeting held 2023-07-27; no official results are on file for this meeting.

100% fund support · no official result

FOR 100%

The 2 asset managers below cast 100% of the shares they voted on this item FOR (627,434 for, 0 against).

FOR: 627,434 (100.0%)

Largest asset managers voting on “Special” at ASSERTIO HOLDINGS INC., 2023-2024
Asset manager	For	Against	Abstain	Withheld	Vote
PERRITT CAPITAL MANAGEMENT INC	356,184	0	0	0	For
PERRITT FUNDS INC	271,250	0	0	0	For

Largest ASSERTIO HOLDINGS INC. shareholders voting in 2023-2024

Ranked by the number of ASSERTIO HOLDINGS INC. shares each manager voted on the most widely held ballot item of the 2023-2024 meeting, shown as a share of the 95,124,605 shares outstanding at the time of that meeting.

Top ASSERTIO HOLDINGS INC. shareholders by shares voted, 2023-2024
#	Asset manager	% of shares outstanding
1	Nantahala Capital Management, LLC	7.29%
2	Vanguard	5.18%
3	BlackRock	3.14%
4	Russell Investments	2.46%
5	Invesco	1.49%
6	GEODE CAPITAL MANAGEMENT, LLC	1.07%
7	Renaissance	1.03%
8	Fidelity	0.96%
9	State Street	0.82%
10	AQR	0.82%

Reported ASSERTIO HOLDINGS INC. ownership

Positions disclosed to the SEC on Schedules 13D and 13G, Form 13F and the company’s own proxy statement (DEF 14A).

ASSERTIO HOLDINGS INC. beneficial owners on record for the 2023-2024 proxy season
Holder	% outstanding	Disclosure
Nantahala Capital Management, LLC .	8.01%	DEF14A
Armistice Capital, LLC	6.10%	DEF14A
Vanguard Group	4.65%	13F
Renaissance Technologies	2.20%	13F
Geode Capital	2.15%	13F
State Street	1.61%	13F
BlackRock	1.43%	13F
Two Sigma	1.05%	13F
Invesco	0.79%	13F
Northern Trust	0.77%	13F

Percentages above are of 95,124,605 shares outstanding, as reported by ASSERTIO HOLDINGS INC. on its Form 10-Q dated 2024-05-01 (see the filing on EDGAR). This is the count contemporaneous with the 2023-2024 meeting, so the percentages are the ones that were true then, not ones restated against today’s share count.

About this page

Every figure above is derived from filings made with the US Securities and Exchange Commission: Form N-PX, in which registered investment companies and institutional managers disclose how they voted every proxy, and Form 8-K Item 5.07, in which the company reports its own meeting results. Shares outstanding are taken from ASSERTIO HOLDINGS INC.’s 10-Q dated 2024-05-01. This page is a static snapshot rebuilt weekly on 02 October 2026; a live search always shows the current data.

At ASSERTIO HOLDINGS INC.'s 2 shareholder meetings in the 2023-2024 proxy season (held 2023-07-27 and 2024-05-23), 123 asset managers reported how they voted in their SEC Form N-PX filings, covering 1,235 separate fund positions. Their filings are grouped here into 17 reported items; because filers word the same ballot item differently, that can be more than the number of items on the ballot. On the most widely held item of the season, voted at the meeting held 2024-05-23 — To approve, on an advisory basis, the compensation of the Company's named executive officers. — FOR was 87% of the votes cast (FOR divided by FOR plus AGAINST, the conventional basis for proxy support; abstentions, broker non-votes and unvoted shares are excluded because none of them took a side), which is more than half. Whether the item was approved is for the filing to say; that statement has not been read for this item. Source: ASSERTIO HOLDINGS INC.'s Form 8-K, Item 5.07, filed with the U.S. Securities and Exchange Commission on 2024-05-30.

ASSERTIO HOLDINGS INC. proxy season coverage: 2023-2024 (this page).