ASSERTIO HOLDINGS INC. 2023-2024 Proxy Voting Records

Description as filed by funds: 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

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 May 30, 2024 (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.

Reported outcome: Elected, in the filing’s own words: “Proposal 1 : The stockholders of the Company elected each of the six director nominees to serve on the Board for a term to expire at the 2025 Annual Meeting of Stockholders and until their successors are elected and qualified, or until their earlier death, retirement, resignation or removal.”
Support: 94% of votes cast — FOR ÷ (FOR + AGAINST); abstentions and broker non-votes are excluded.

The 38 asset managers below reported 11,780,213 for.

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

Description as filed by funds: 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

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 May 30, 2024 (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.

Reported outcome: Elected, in the filing’s own words: “Proposal 1 : The stockholders of the Company elected each of the six director nominees to serve on the Board for a term to expire at the 2025 Annual Meeting of Stockholders and until their successors are elected and qualified, or until their earlier death, retirement, resignation or removal.”
Support: 93% of votes cast — FOR ÷ (FOR + AGAINST); abstentions and broker non-votes are excluded.

The 38 asset managers below reported 11,780,213 for.

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

Description as filed by funds: 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

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 May 30, 2024 (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.

Reported outcome: Elected, in the filing’s own words: “Proposal 1 : The stockholders of the Company elected each of the six director nominees to serve on the Board for a term to expire at the 2025 Annual Meeting of Stockholders and until their successors are elected and qualified, or until their earlier death, retirement, resignation or removal.”
Support: 92% of votes cast — FOR ÷ (FOR + AGAINST); abstentions and broker non-votes are excluded.

The 38 asset managers below reported 11,386,029 for, 394,184 against.

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

Description as filed by funds: 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

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 May 30, 2024 (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.

Reported outcome: Elected, in the filing’s own words: “Proposal 1 : The stockholders of the Company elected each of the six director nominees to serve on the Board for a term to expire at the 2025 Annual Meeting of Stockholders and until their successors are elected and qualified, or until their earlier death, retirement, resignation or removal.”
Support: 93% of votes cast — FOR ÷ (FOR + AGAINST); abstentions and broker non-votes are excluded.

The 38 asset managers below reported 11,396,352 for, 383,861 against.

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

Description as filed by funds: 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

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 May 30, 2024 (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.

Reported outcome: Elected, in the filing’s own words: “Proposal 1 : The stockholders of the Company elected each of the six director nominees to serve on the Board for a term to expire at the 2025 Annual Meeting of Stockholders and until their successors are elected and qualified, or until their earlier death, retirement, resignation or removal.”
Support: 93% of votes cast — FOR ÷ (FOR + AGAINST); abstentions and broker non-votes are excluded.

The 38 asset managers below reported 11,396,352 for, 383,861 against.

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

Description as filed by funds: 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

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 May 30, 2024 (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.

Reported outcome: Elected, in the filing’s own words: “Proposal 1 : The stockholders of the Company elected each of the six director nominees to serve on the Board for a term to expire at the 2025 Annual Meeting of Stockholders and until their successors are elected and qualified, or until their earlier death, retirement, resignation or removal.”
Support: 88% of votes cast — FOR ÷ (FOR + AGAINST); abstentions and broker non-votes are excluded.

The 38 asset managers below reported 10,971,611 for, 808,602 against.

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

Description as filed by funds: 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 owned subsidiary of Assertio, and Spectrum, including the issuance of shares of Assertio common stock as payments under the contingent value rights, which are referred to as CVRs, issued in connection with such merger, which issuances are referred to as the "share issuance" and which proposal is referred to as the "Assertio share issuance proposal"

ASSERTIO HOLDINGS INC.’s own tally for this item (“1. Approval of the Share Issuance”): 28,898,637 for, 3,912,936 against — passed, per its Form 8-K filed August 1, 2023 (Item 5.07).

Reported outcome: Approved, in the filing’s own words: “The stockholders approved the issuance of shares of the Company's common stock to Spectrum stockholders in connection with the Merger (including such shares issued as payment under the non-tradeable contingent value rights) (the "Assertio share issuance proposal") as follows:”
Support: 88% of votes cast — FOR ÷ (FOR + AGAINST); abstentions and broker non-votes are excluded.

The 27 asset managers below reported 3,589,643 for.

Showing the 25 largest of 27 asset managers. See all 27 in the interactive database.

Description as filed by funds: 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.

ASSERTIO HOLDINGS INC.’s own tally for this item (“5. 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 stockholders prior to ”): 41,371,946 for, 2,296,604 against — failed, per its Form 8-K filed May 30, 2024 (Item 5.07). This item required more than a simple majority of votes cast — see the filing.

Reported outcome: Not approved, in the filing’s own words: “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 stockholders prior to certain actions being…”
Not approved under the vote the filing states was required: “majority of votes cast”
Support: 95% of votes cast — FOR ÷ (FOR + AGAINST); abstentions and broker non-votes are excluded.
Voting standard, as the filing states it: a majority of the votes cast (“majority of votes cast”).

The 38 asset managers below reported 11,780,213 for.

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

Description as filed by funds: To approve an amendment to the Company's Certificate of Incorporation to reflect recently adopted Delaware law provisions regarding officer exculpation.

ASSERTIO HOLDINGS INC.’s own tally for this item (“4. 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 — failed, per its Form 8-K filed May 30, 2024 (Item 5.07). This item required more than a simple majority of votes cast — see the filing.

Reported outcome: Not approved, in the filing’s own words: “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.”
Not approved under the vote the filing states was required: “majority of votes cast”
Support: 86% of votes cast — FOR ÷ (FOR + AGAINST); abstentions and broker non-votes are excluded.
Voting standard, as the filing states it: a majority of the votes cast (“majority of votes cast”).

The 38 asset managers below reported 9,439,454 for, 2,340,759 against.

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

Fund voting reports and institutional-manager reports both cover this item. An institutional manager can report shares that a fund it advises also reports, so the two are shown separately below and never added together, and their sum is not shown (fund and manager reports combined may count the same shares twice). The figure above is FOR ÷ (FOR + AGAINST + WITHHELD) of the shares these managers voted; abstained and unvoted shares are in neither half, and these managers are a subset of all shareholders, not the meeting result.

Fund voting reports, all 1 managers: 271,250 for.

Institutional-manager reports, all 1 managers: 356,184 for.

Description as filed by funds: 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 proposal is referred to as the "Assertio adjournment proposal."

ASSERTIO HOLDINGS INC.’s own tally for this item (“2. Adjournment of the Assertio Special Meeting”): 28,787,617 for, 4,008,573 against — passed, per its Form 8-K filed August 1, 2023 (Item 5.07).

Reported outcome: Approved, in the filing’s own words: “The stockholders approved the proposal to adjourn the Special Meeting to solicit additional proxies if there are insufficient votes to approve the Assertio share issuance proposal or to ensure that any supplement or amendment to the joint proxy statement/prospectus is timely provided to Assertio st…”
Support: 88% of votes cast — FOR ÷ (FOR + AGAINST); abstentions and broker non-votes are excluded.

The 28 asset managers below reported 3,575,417 for, 14,539 against.

Showing the 25 largest of 28 asset managers. See all 28 in the interactive database.

Description as filed by funds: 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.

ASSERTIO HOLDINGS INC.’s own tally for this item (“2. 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 for, 5,612,232 against — passed, per its Form 8-K filed May 30, 2024 (Item 5.07).

Reported outcome: Approved, in the filing’s own words: “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.”
Support: 87% of votes cast — FOR ÷ (FOR + AGAINST); abstentions and broker non-votes are excluded.

The 38 asset managers below reported 11,689,282 for, 90,931 against.

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

Description as filed by funds: To approve, on an advisory basis, the compensation of the Company's named executive officers.

ASSERTIO HOLDINGS INC.’s own tally for this item (“3. The compensation of the Company's named executive officers”): 37,484,817 for, 5,793,318 against — passed, per its Form 8-K filed May 30, 2024 (Item 5.07).

Reported outcome: Approved, in the filing’s own words: “Proposal 3 : The stockholders of the Company approved, on an advisory basis, the compensation of the Company's named executive officers.”
Support: 87% of votes cast — FOR ÷ (FOR + AGAINST); abstentions and broker non-votes are excluded.

Fund voting reports and institutional-manager reports both cover this item. An institutional manager can report shares that a fund it advises also reports, so the two are shown separately below and never added together, and their sum is not shown (fund and manager reports combined may count the same shares twice).

Fund voting reports, all 38 managers: 11,223,504 for, 556,709 against. Showing the 25 largest; see all in the interactive database.

Institutional-manager reports, all 79 managers: 14,627,170 for, 599,267 against. Showing the 25 largest; see all in the interactive database.

Description as filed by funds: 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.

ASSERTIO HOLDINGS INC.’s own tally for this item (“6. 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 — passed, per its Form 8-K filed May 30, 2024 (Item 5.07).

Reported outcome: Approved, in the filing’s own words: “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.”
Support: 97% of votes cast — FOR ÷ (FOR + AGAINST); abstentions and broker non-votes are excluded.

The 38 asset managers below reported 11,396,352 for, 383,861 against.

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