person · Reporting owner

HIGGINS ARTHUR J

Disclosed activity across 4 companies

Tapewire entity: 33118
SEC CIK: 0001142083

Reported relationships

Latest disclosed role at each company.

Company	Last reported as	Report date	Published
Assertio Holdings, Inc.ASRT · Entity 37706	Director	December 05, 2020	December 07, 2020
Assertio Therapeutics, IncASRT · Entity 149352	Director · Director, President and CEO	February 12, 2020	February 12, 2020
ECOLAB INC.ECL · Entity 2954	Director	March 31, 2025	April 02, 2025
ZIMMER BIOMET HOLDINGS, INC.ZBH · Entity 3278	Director	September 30, 2026	October 03, 2026

Disclosed balances

About these balances

Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.

Assertio Holdings, Inc.

Report date December 05, 2020 · Filed December 07, 2020

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	564,239	Reported balance After 2020-12-05 transaction · row 1 1 source row Row 1 · 2020-12-05 · Exercise / conversion · Acquired 73,529 · Balance 564,239
Restricted Stock UnitsSEC Table II · derivative / convertible security · Expires 2020-12-05	Direct	0	Reported balance After 2020-12-05 transaction · row 4 Instrument identity requires review; Table II rows are not merged. 1 source row Row 4 · 2020-12-05 · Exercise / conversion · Disposed 73,529 · Balance 0 F1: Each restricted stock unit represents the contingent right to receive one share of common stock. This transaction represents the settlement of vested restricted stock units in shares of common stock. F2: The derivative securities were granted to the reporting person, and were not sold to the reporting person. As such, the reporting person did not pay any consideration for the derivative securities.
Common StockSEC Table I · non-derivative	IndirectBy Trust	175,000	Reported balance Holding disclosure · report date 2020-12-05 · row 2 Holding and transaction disclosures are not merged. 1 source row Row 2 · Balance 175,000
Common StockSEC Table I · non-derivative	IndirectBy Child	3,000	Reported balance Holding disclosure · report date 2020-12-05 · row 3 Holding and transaction disclosures are not merged. 1 source row Row 3 · Balance 3,000

Filing footnotes · ownership attribution and instrument terms

F1: Each restricted stock unit represents the contingent right to receive one share of common stock. This transaction represents the settlement of vested restricted stock units in shares of common stock.

F2: The derivative securities were granted to the reporting person, and were not sold to the reporting person. As such, the reporting person did not pay any consideration for the derivative securities.

Assertio Therapeutics, Inc

Report date February 12, 2020 · Filed February 12, 2020

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	244,739	Ending reported balance After 2020-02-12 transaction · row 2 2 source rows · reconciled sequence Row 1 · 2020-02-12 · Exercise / conversion · Acquired 97,412 · Balance 275,747 Row 2 · 2020-02-12 · Tax withholding · Disposed 31,008 · Balance 244,739 F1: Represents shares of common stock withheld for payment of taxes upon the vesting of restricted stock units.
Restricted Stock UnitsSEC Table II · derivative / convertible security · Expires 2022-02-12	Direct	194,825	Reported balance After 2020-02-12 transaction · row 5 Instrument identity requires review; Table II rows are not merged. 1 source row Row 5 · 2020-02-12 · Exercise / conversion · Disposed 97,412 · Balance 194,825 F2: Each restricted stock unit represents the contingent right to receive one share of common stock. This transaction represents the settlement of vested restricted stock units in shares of common stock. F4: The derivative securities were granted to the reporting person, and were not sold to the reporting person. As such, the reporting person did not pay any consideration for the derivative securities. F3: One-third of these restricted stock units are scheduled to vest on each of February 12, 2020, 2021 and 2022.
Common StockSEC Table I · non-derivative	IndirectBy Trust	175,000	Reported balance Holding disclosure · report date 2020-02-12 · row 3 Holding and transaction disclosures are not merged. 1 source row Row 3 · Balance 175,000
Common StockSEC Table I · non-derivative	IndirectBy Child	3,000	Reported balance Holding disclosure · report date 2020-02-12 · row 4 Holding and transaction disclosures are not merged. 1 source row Row 4 · Balance 3,000

Filing footnotes · ownership attribution and instrument terms

F1: Represents shares of common stock withheld for payment of taxes upon the vesting of restricted stock units.

F2: Each restricted stock unit represents the contingent right to receive one share of common stock. This transaction represents the settlement of vested restricted stock units in shares of common stock.

F3: One-third of these restricted stock units are scheduled to vest on each of February 12, 2020, 2021 and 2022.

F4: The derivative securities were granted to the reporting person, and were not sold to the reporting person. As such, the reporting person did not pay any consideration for the derivative securities.

ECOLAB INC.

Report date March 31, 2025 · Filed April 02, 2025

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	26,741.32	Reported balance After 2025-03-31 transaction · row 1 Account or security details depend on footnotes; rows are not merged. 1 source row Row 1 · 2025-03-31 · Grant · Acquired 134.16 · Balance 26,741.32 F1: Includes 72.09 shares acquired pursuant to a dividend reinvestment feature of the Ecolab Inc. 2001 Non-Employee Director Stock Option and Deferred Compensation Plan.
Common StockSEC Table I · non-derivative	Direct	26,865.54	Reported balance After 2025-03-31 transaction · row 2 Account or security details depend on footnotes; rows are not merged. 1 source row Row 2 · 2025-03-31 · Grant · Acquired 124.22 · Balance 26,865.54

Filing footnotes · ownership attribution and instrument terms

F1: Includes 72.09 shares acquired pursuant to a dividend reinvestment feature of the Ecolab Inc. 2001 Non-Employee Director Stock Option and Deferred Compensation Plan.

ZIMMER BIOMET HOLDINGS, INC.

Report date September 30, 2026 · Filed October 03, 2026

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Phantom Stock UnitsSEC Table II · derivative / convertible security · Conversion / exercise price $89.85	Direct	38,077.496	Reported balance After 2026-09-30 transaction · row 1 Instrument identity requires review; Table II rows are not merged. 1 source row Row 1 · 2026-09-30 · Grant · Acquired 306.066 · Balance 38,077.496 F1: The phantom stock units were accrued under the Zimmer Biomet Holdings, Inc. Deferred Compensation Plan for Non-Employee Directors. F2: The Conversion or Exercise Price of Derivative Security is 1-for-1. F3: Units are to be settled in cash in ten annual installments commencing within sixty days after the end of the calendar year in which the cessation of the reporting person's service as a Director occurs. F4: Includes 96.739 phantom stock units accrued on July 31, 2026 under the dividend reinvestment provision of the Zimmer Biomet Holdings, Inc. Deferred Compensation Plan for Non-Employee Directors.

Filing footnotes · ownership attribution and instrument terms

F1: The phantom stock units were accrued under the Zimmer Biomet Holdings, Inc. Deferred Compensation Plan for Non-Employee Directors.

F2: The Conversion or Exercise Price of Derivative Security is 1-for-1.

F3: Units are to be settled in cash in ten annual installments commencing within sixty days after the end of the calendar year in which the cessation of the reporting person's service as a Director occurs.

F4: Includes 96.739 phantom stock units accrued on July 31, 2026 under the dividend reinvestment provision of the Zimmer Biomet Holdings, Inc. Deferred Compensation Plan for Non-Employee Directors.

Transaction history

JSON API

Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction date	Company	Activity / security	Shares / units	Reported price	Reported value	Details
June 13, 2023 Filed Jun 15, 2023 20:36 UTC	ECOLAB INC. ECL · Entity 2954	Exercise / conversionNon-Employee Director Stock Option (Right to Buy) · Derivative	2,400	$0.00 Strike: $104.85	$0.00	Disclosure SEC source: 0001415889-23-009836 · form4-06152023_080629.xml · derivative · entry 3 HIGGINS ARTHUR J · CIK 0001142083 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,400 shares Expires 2024-05-08 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_date: The option was granted on May 8, 2014. It became exercisable, on a cumulative basis, as to 25% of the option shares (excluding any fractional portion less than one share), on the last day of each of the first, second and third three-month periods following its date of grant and as to the remaining shares on the last day of the fourth three-month period following its date of grant. The date listed in the "Date Exercisable" column represents the first vesting date. Read SEC document
June 13, 2023 Filed Jun 15, 2023 20:36 UTC	ECOLAB INC. ECL · Entity 2954	SaleCommon Stock	2,400	$181.33	$435,192.00	Disclosure SEC source: 0001415889-23-009836 · form4-06152023_080629.xml · nonDerivative · entry 2 HIGGINS ARTHUR J · CIK 0001142083 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 23,974.54 Read SEC document
June 13, 2023 Filed Jun 15, 2023 20:36 UTC	ECOLAB INC. ECL · Entity 2954	Exercise / conversionCommon Stock	2,400	$104.85	$251,640.00	Disclosure SEC source: 0001415889-23-009836 · form4-06152023_080629.xml · nonDerivative · entry 1 HIGGINS ARTHUR J · CIK 0001142083 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 26,374.54 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document
May 12, 2023 Filed May 16, 2023 20:12 UTC	ZIMMER BIOMET HOLDINGS, INC. ZBH · Entity 3278	GrantRestricted Stock Units · Derivative	950.779	$0.00	$0.00	Disclosure SEC source: 0001062993-23-011205 · form4.xml · derivative · entry 2 HIGGINS ARTHUR J · CIK 0001142083 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 22,383.937 Underlying: Common Stock · 950.779 shares Expires not disclosed F2 · derivative.exercise_price: The Conversion or Exercise Price of Derivative Security is 1-for-1. F5 · derivative.exercise_date: The Restricted Stock Units are immediately 100% vested and will be subject to mandatory deferral until the later of (1) the reporting person's termination of service as a Director or (2) the date that is three years after the grant date. F5 · derivative.expiration_date: The Restricted Stock Units are immediately 100% vested and will be subject to mandatory deferral until the later of (1) the reporting person's termination of service as a Director or (2) the date that is three years after the grant date. F6 · balance_after: Includes Restricted Stock Units granted in prior years that are subject to different mandatory deferral periods. Read SEC document
May 12, 2023 Filed May 16, 2023 20:12 UTC	ZIMMER BIOMET HOLDINGS, INC. ZBH · Entity 3278	GrantPhantom Stock Units · Derivative	500	$0.00 Strike: $136.73	$0.00	Disclosure SEC source: 0001062993-23-011205 · form4.xml · derivative · entry 1 HIGGINS ARTHUR J · CIK 0001142083 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 31,019.076 Underlying: Common Stock · 500 shares Expires not disclosed F1 · security: The phantom stock units were accrued under the Zimmer Biomet Holdings, Inc. (the "Company") Deferred Compensation Plan for Non-Employee Directors. F2 · derivative.exercise_price: The Conversion or Exercise Price of Derivative Security is 1-for-1. F3 · derivative.exercise_date: Units are to be settled in cash in ten annual installments commencing within sixty days after the end of the calendar year in which the cessation of the reporting person's service as a Director occurs. These units are to be settled in shares of Company common stock within sixty days after cessation of the reporting person's service as a Director. F3 · derivative.expiration_date: Units are to be settled in cash in ten annual installments commencing within sixty days after the end of the calendar year in which the cessation of the reporting person's service as a Director occurs. These units are to be settled in shares of Company common stock within sixty days after cessation of the reporting person's service as a Director. F4 · balance_after: Includes 52.364 phantom stock units accrued on April 28, 2023 under the dividend reinvestment provision of the Zimmer Biomet Holdings, Inc. Deferred Compensation Plan for Non-Employee Directors. Read SEC document
May 04, 2023 Filed May 5, 2023 22:29 UTC	ECOLAB INC. ECL · Entity 2954	GrantNon-Employee Director Stock Option (Right to Buy) · Derivative	1,410	$0.00 Strike: $172.21	$0.00	Disclosure SEC source: 0001415889-23-007495 · form4-05052023_100505.xml · derivative · entry 2 HIGGINS ARTHUR J · CIK 0001142083 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,410 Underlying: Common Stock · 1,410 shares Expires 2033-05-04 F1 · derivative.exercise_date: The option will become exercisable, on a cumulative basis, as to 25% of the option shares (excluding any fractional portion less than one share), on the last day of each of the first, second and third three-month periods following its date of grant and as to the remaining shares on the last day of the fourth three-month period following its date of grant; provided, however, that if a Change in Control of the Company (as that term is defined in the Ecolab Inc. 2001 Non-Employee Director Stock Option and Deferred Compensation Plan) will occur, then the option will become immediately exercisable in full. Read SEC document
March 31, 2023 Filed Apr 4, 2023 21:54 UTC	ECOLAB INC. ECL · Entity 2954	GrantCommon Stock	182.03	$164.81	$30,000.36	Disclosure SEC source: 0001415889-23-006100 · form4-04042023_090418.xml · nonDerivative · entry 2 HIGGINS ARTHUR J · CIK 0001142083 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 23,974.54 F1 · balance_after: Includes 79.95 shares acquired pursuant to a dividend reinvestment feature of the Ecolab Inc. 2001 Non-Employee Director Stock Option and Deferred Compensation Plan. Read SEC document
March 31, 2023 Filed Apr 4, 2023 21:54 UTC	ECOLAB INC. ECL · Entity 2954	GrantCommon Stock	189.61	$0.00	$0.00	Disclosure SEC source: 0001415889-23-006100 · form4-04042023_090418.xml · nonDerivative · entry 1 HIGGINS ARTHUR J · CIK 0001142083 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 23,712.56 Read SEC document
March 31, 2023 Filed Apr 4, 2023 20:16 UTC	ZIMMER BIOMET HOLDINGS, INC. ZBH · Entity 3278	GrantPhantom Stock Units · Derivative	252.898	$0.00 Strike: $128.51	$0.00	Disclosure SEC source: 0001062993-23-008495 · form4.xml · derivative · entry 1 HIGGINS ARTHUR J · CIK 0001142083 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 30,466.712 Underlying: Common Stock · 252.898 shares Expires not disclosed F1 · security: The phantom stock units were accrued under the Zimmer Biomet Holdings, Inc. Deferred Compensation Plan for Non-Employee Directors. F2 · derivative.exercise_price: The Conversion or Exercise Price of Derivative Security is 1-for-1. F3 · derivative.exercise_date: Units are to be settled in cash in ten annual installments commencing within sixty days after the end of the calendar year in which the cessation of the reporting person's service as a Director occurs. F3 · derivative.expiration_date: Units are to be settled in cash in ten annual installments commencing within sixty days after the end of the calendar year in which the cessation of the reporting person's service as a Director occurs. F4 · balance_after: Includes 56.837 phantom stock units accrued on January 31, 2023 under the dividend reinvestment provision of the Zimmer Biomet Holdings, Inc. Deferred Compensation Plan for Non-Employee Directors. Read SEC document
December 31, 2022 Filed Jan 3, 2023 22:29 UTC	ECOLAB INC. ECL · Entity 2954	GrantCommon Stock	206.06	$145.59	$29,999.66	Disclosure SEC source: 0001415889-23-000123 · form4-01032023_100127.xml · nonDerivative · entry 2 HIGGINS ARTHUR J · CIK 0001142083 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,522.95 F1 · balance_after: Includes 79.93 shares acquired pursuant to a dividend reinvestment feature of the Ecolab Inc. 2001 Non-Employee Director Stock Option and Deferred Compensation Plan. Read SEC document
December 31, 2022 Filed Jan 3, 2023 22:29 UTC	ECOLAB INC. ECL · Entity 2954	GrantCommon Stock	214.65	$0.00	$0.00	Disclosure SEC source: 0001415889-23-000123 · form4-01032023_100127.xml · nonDerivative · entry 1 HIGGINS ARTHUR J · CIK 0001142083 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,236.96 Read SEC document
December 31, 2022 Filed Jan 4, 2023 21:13 UTC	ZIMMER BIOMET HOLDINGS, INC. ZBH · Entity 3278	GrantPhantom Stock Units · Derivative	255.966	$0.00 Strike: $126.97	$0.00	Disclosure SEC source: 0001062993-23-000264 · form4.xml · derivative · entry 1 HIGGINS ARTHUR J · CIK 0001142083 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,156.977 Underlying: Common Stock · 255.966 shares Expires not disclosed F1 · security: The phantom stock units were accrued under the Zimmer Biomet Holdings, Inc. Deferred Compensation Plan for Non-Employee Directors. F2 · derivative.exercise_price: The Conversion or Exercise Price of Derivative Security is 1-for-1. F3 · derivative.exercise_date: Units are to be settled in cash in ten annual installments commencing within sixty days after the end of the calendar year in which the cessation of the reporting person's service as a Director occurs. F3 · derivative.expiration_date: Units are to be settled in cash in ten annual installments commencing within sixty days after the end of the calendar year in which the cessation of the reporting person's service as a Director occurs. F4 · balance_after: Includes 63.383 phantom stock units accrued on October 31, 2022 under the dividend reinvestment provision of the Zimmer Biomet Holdings, Inc. Deferred Compensation Plan for Non-Employee Directors. Read SEC document
September 30, 2022 Filed Oct 4, 2022 21:13 UTC	ECOLAB INC. ECL · Entity 2954	GrantCommon Stock	205.38	$146.07	$29,999.86	Disclosure SEC source: 0001415889-22-010255 · form4-10042022_021020.xml · nonDerivative · entry 2 HIGGINS ARTHUR J · CIK 0001142083 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,022.31 F1 · balance_after: Includes 72.54 shares acquired pursuant to a dividend reinvestment feature of the Ecolab Inc. 2001 Non-Employee Director Stock Option and Deferred Compensation Plan. Read SEC document
September 30, 2022 Filed Oct 4, 2022 21:13 UTC	ECOLAB INC. ECL · Entity 2954	GrantCommon Stock	213.94	$0.00	$0.00	Disclosure SEC source: 0001415889-22-010255 · form4-10042022_021020.xml · nonDerivative · entry 1 HIGGINS ARTHUR J · CIK 0001142083 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,744.39 Read SEC document
September 30, 2022 Filed Oct 4, 2022 20:26 UTC	ZIMMER BIOMET HOLDINGS, INC. ZBH · Entity 3278	GrantPhantom Stock Units · Derivative	305.365	$0.00 Strike: $106.43	$0.00	Disclosure SEC source: 0001062993-22-020330 · form4.xml · derivative · entry 1 HIGGINS ARTHUR J · CIK 0001142083 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,837.628 Underlying: Common Stock · 305.365 shares Expires not disclosed F1 · security: The phantom stock units were accrued under the Zimmer Biomet Holdings, Inc. Deferred Compensation Plan for Non-Employee Directors. F2 · derivative.exercise_price: The Conversion or Exercise Price of Derivative Security is 1-for-1. F3 · derivative.exercise_date: Units are to be settled in cash in ten annual installments commencing within sixty days after the end of the calendar year in which the cessation of the reporting person's service as a Director occurs. F3 · derivative.expiration_date: Units are to be settled in cash in ten annual installments commencing within sixty days after the end of the calendar year in which the cessation of the reporting person's service as a Director occurs. F4 · balance_after: Includes 63.701 phantom stock units accrued on July 29, 2022 under the dividend reinvestment provision of the Zimmer Biomet Holdings, Inc. Deferred Compensation Plan for Non-Employee Directors. Read SEC document
August 01, 2022 Filed Aug 3, 2022 20:46 UTC	ECOLAB INC. ECL · Entity 2954	Exercise / conversionNon-Employee Director Stock Option (Right to Buy) · Derivative	3,200	$0.00 Strike: $84.27	$0.00	Disclosure SEC source: 0001415889-22-008193 · form4-08032022_010834.xml · derivative · entry 3 HIGGINS ARTHUR J · CIK 0001142083 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,200 shares Expires 2023-05-02 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_date: The option became exercisable, on a cumulative basis, as to 25% of the option shares (excluding any fractional portion less than one share), on the last day of each of the first, second and third three-month periods following its date of grant and as to the remaining shares on the last day of the fourth three-month period following its date of grant. Read SEC document
August 01, 2022 Filed Aug 3, 2022 20:46 UTC	ECOLAB INC. ECL · Entity 2954	SaleCommon Stock	3,200	$166.74	$533,568.00	Disclosure SEC source: 0001415889-22-008193 · form4-08032022_010834.xml · nonDerivative · entry 2 HIGGINS ARTHUR J · CIK 0001142083 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,530.45 Read SEC document
August 01, 2022 Filed Aug 3, 2022 20:46 UTC	ECOLAB INC. ECL · Entity 2954	Exercise / conversionCommon Stock	3,200	$84.27	$269,648.00	Disclosure SEC source: 0001415889-22-008193 · form4-08032022_010834.xml · nonDerivative · entry 1 HIGGINS ARTHUR J · CIK 0001142083 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,730.45 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document
June 30, 2022 Filed Jul 5, 2022 20:48 UTC	ECOLAB INC. ECL · Entity 2954	GrantCommon Stock	196.87	$152.39	$30,000.03	Disclosure SEC source: 0001415889-22-007357 · form4-07052022_010758.xml · nonDerivative · entry 2 HIGGINS ARTHUR J · CIK 0001142083 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,530.45 F1 · balance_after: Includes 61.78 shares acquired pursuant to a dividend reinvestment feature of the Ecolab Inc. 2001 Non-Employee Director Stock Option and Deferred Compensation Plan. Read SEC document
June 30, 2022 Filed Jul 5, 2022 20:48 UTC	ECOLAB INC. ECL · Entity 2954	GrantCommon Stock	205.07	$0.00	$0.00	Disclosure SEC source: 0001415889-22-007357 · form4-07052022_010758.xml · nonDerivative · entry 1 HIGGINS ARTHUR J · CIK 0001142083 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,271.8 Read SEC document
June 30, 2022 Filed Jul 5, 2022 21:35 UTC	ZIMMER BIOMET HOLDINGS, INC. ZBH · Entity 3278	GrantPhantom Stock Units · Derivative	309.376	$0.00 Strike: $105.05	$0.00	Disclosure SEC source: 0001062993-22-015938 · form4.xml · derivative · entry 1 HIGGINS ARTHUR J · CIK 0001142083 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,468.562 Underlying: Common Stock · 309.376 shares Expires not disclosed F1 · security: The phantom stock units were accrued under the Zimmer Biomet Holdings, Inc. Deferred Compensation Plan for Non-Employee Directors. F2 · derivative.exercise_price: The Conversion or Exercise Price of Derivative Security is 1-for-1. F3 · derivative.exercise_date: Units are to be settled in cash in ten annual installments commencing within sixty days after the end of the calendar year in which the cessation of the reporting person's service as a Director occurs. F3 · derivative.expiration_date: Units are to be settled in cash in ten annual installments commencing within sixty days after the end of the calendar year in which the cessation of the reporting person's service as a Director occurs. Read SEC document
May 13, 2022 Filed May 17, 2022 21:32 UTC	ZIMMER BIOMET HOLDINGS, INC. ZBH · Entity 3278	GrantRestricted Stock Units · Derivative	1,129.158	$0.00	$0.00	Disclosure SEC source: 0001062993-22-012807 · form4.xml · derivative · entry 2 HIGGINS ARTHUR J · CIK 0001142083 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,433.158 Underlying: Common Stock · 1,129.158 shares Expires not disclosed F2 · derivative.exercise_price: The Conversion or Exercise Price of Derivative Security is 1-for-1. F5 · derivative.exercise_date: The Restricted Stock Units are immediately 100% vested and will be subject to mandatory deferral until the later of (1) the reporting person's termination of service as a Director or (2) the date that is three years after the grant date. F5 · derivative.expiration_date: The Restricted Stock Units are immediately 100% vested and will be subject to mandatory deferral until the later of (1) the reporting person's termination of service as a Director or (2) the date that is three years after the grant date. F6 · balance_after: Includes Restricted Stock Units granted in prior years that are subject to different mandatory deferral periods. Also reflects the adjustments that occurred as of March 1, 2022 in connection with the spinoff of ZimVie Inc. In connection with the spinoff, each then outstanding Restricted Stock Unit was adjusted to preserve the intrinsic value of such award by multiplying it by an equity exchange ratio, rounded up to the nearest whole unit. Read SEC document
May 13, 2022 Filed May 17, 2022 21:32 UTC	ZIMMER BIOMET HOLDINGS, INC. ZBH · Entity 3278	GrantPhantom Stock Units · Derivative	500	$0.00 Strike: $115.13	$0.00	Disclosure SEC source: 0001062993-22-012807 · form4.xml · derivative · entry 1 HIGGINS ARTHUR J · CIK 0001142083 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,159.186 Underlying: Common Stock · 500 shares Expires not disclosed F1 · security: The phantom stock units were accrued under the Zimmer Biomet Holdings, Inc. (the "Company") Deferred Compensation Plan for Non-Employee Directors. F2 · derivative.exercise_price: The Conversion or Exercise Price of Derivative Security is 1-for-1. F3 · derivative.exercise_date: These units are to be settled in shares of Company common stock within sixty days after cessation of the reporting person's service as a Director. F3 · derivative.expiration_date: These units are to be settled in shares of Company common stock within sixty days after cessation of the reporting person's service as a Director. F4 · balance_after: Includes 53.915 phantom stock units accrued on April 29, 2022 under the dividend reinvestment provision of the Zimmer Biomet Holdings, Inc. Deferred Compensation Plan for Non-Employee Directors. Read SEC document
May 05, 2022 Filed May 6, 2022 20:39 UTC	ECOLAB INC. ECL · Entity 2954	GrantNon-Employee Director Stock Option (Right to Buy) · Derivative	1,399	$0.00 Strike: $168.75	$0.00	Disclosure SEC source: 0001415889-22-004714 · form4-05062022_010516.xml · derivative · entry 2 HIGGINS ARTHUR J · CIK 0001142083 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,399 Underlying: Common Stock · 1,399 shares Expires 2032-05-05 F1 · derivative.exercise_date: The option will become exercisable, on a cumulative basis, as to 25% of the option shares (excluding any fractional portion less than one share), on the last day of each of the first, second and third three-month periods following its date of grant and as to the remaining shares on the last day of the fourth three-month period following its date of grant; provided, however, that if a Change in Control of the Company (as that term is defined in the Ecolab Inc. 2001 Non-Employee Director Stock Option and Deferred Compensation Plan) will occur, then the option will become immediately exercisable in full. Read SEC document
March 31, 2022 Filed Apr 4, 2022 20:46 UTC	ECOLAB INC. ECL · Entity 2954	GrantCommon Stock	168.34	$178.22	$30,000.71	Disclosure SEC source: 0001415889-22-003718 · form4-04042022_010447.xml · nonDerivative · entry 2 HIGGINS ARTHUR J · CIK 0001142083 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,066.73 F1 · balance_after: Includes 51.30 shares acquired pursuant to a dividend reinvestment feature of the Ecolab Inc. 2001 Non-Employee Director Stock Option and Deferred Compensation Plan. Read SEC document
March 31, 2022 Filed Apr 4, 2022 20:46 UTC	ECOLAB INC. ECL · Entity 2954	GrantCommon Stock	175.35	$0.00	$0.00	Disclosure SEC source: 0001415889-22-003718 · form4-04042022_010447.xml · nonDerivative · entry 1 HIGGINS ARTHUR J · CIK 0001142083 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,847.09 Read SEC document
March 31, 2022 Filed Apr 4, 2022 20:19 UTC	ZIMMER BIOMET HOLDINGS, INC. ZBH · Entity 3278	GrantPhantom Stock Units · Derivative	252.271	$0.00 Strike: $128.83	$0.00	Disclosure SEC source: 0001062993-22-009416 · form4.xml · derivative · entry 1 HIGGINS ARTHUR J · CIK 0001142083 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,605.271 Underlying: Common Stock · 252.271 shares Expires not disclosed F1 · security: The phantom stock units were accrued under the Zimmer Biomet Holdings, Inc. (the "Company") Deferred Compensation Plan for Non-Employee Directors. F2 · derivative.exercise_price: The Conversion or Exercise Price of Derivative Security is 1-for-1. F3 · derivative.exercise_date: Units are to be settled in cash in ten annual installments commencing within sixty days after the end of the calendar year in which the cessation of the reporting person's service as a Director occurs. F3 · derivative.expiration_date: Units are to be settled in cash in ten annual installments commencing within sixty days after the end of the calendar year in which the cessation of the reporting person's service as a Director occurs. F4 · balance_after: Includes 55.432 phantom stock units accrued on January 31, 2022 under the dividend reinvestment provision of the Zimmer Biomet Holdings, Inc. Deferred Compensation Plan for Non-Employee Directors. F5 · balance_after: Holdings reflect the adjustments that occurred as of March 1, 2022 in connection with the Company's spinoff of Zimvie Inc. In connection with the spinoff, each outstanding phantom stock unit was adjusted to preserve the intrinsic value of such award by multiplying it by an equity exchange ratio, rounded up to the nearest whole unit. Read SEC document
December 31, 2021 Filed Jan 4, 2022 22:05 UTC	ECOLAB INC. ECL · Entity 2954	GrantCommon Stock	117.38	$234.28	$27,499.79	Disclosure SEC source: 0001415889-22-000221 · form4-01042022_020114.xml · nonDerivative · entry 2 HIGGINS ARTHUR J · CIK 0001142083 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,671.74 F1 · balance_after: Includes 45.91 shares acquired pursuant to a dividend reinvestment feature of the Ecolab Inc. 2001 Non-Employee Director Stock Option and Deferred Compensation Plan. Read SEC document
December 31, 2021 Filed Jan 4, 2022 22:05 UTC	ECOLAB INC. ECL · Entity 2954	GrantCommon Stock	122.72	$0.00	$0.00	Disclosure SEC source: 0001415889-22-000221 · form4-01042022_020114.xml · nonDerivative · entry 1 HIGGINS ARTHUR J · CIK 0001142083 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,508.45 Read SEC document
December 31, 2021 Filed Jan 4, 2022 22:43 UTC	ZIMMER BIOMET HOLDINGS, INC. ZBH · Entity 3278	GrantPhantom Stock Units · Derivative	253.846	$0.00 Strike: $128.03	$0.00	Disclosure SEC source: 0001062993-22-000344 · form4.xml · derivative · entry 1 HIGGINS ARTHUR J · CIK 0001142083 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,450.043 Underlying: Common Stock · 253.846 shares Expires not disclosed F1 · security: The phantom stock units were accrued under the Zimmer Biomet Holdings, Inc. Deferred Compensation Plan for Non-Employee Directors. F2 · derivative.exercise_price: The Conversion or Exercise Price of Derivative Security is 1-for-1. F3 · derivative.exercise_date: Units are to be settled in cash in ten annual installments commencing within sixty days after the end of the calendar year in which the cessation of the reporting person's service as a Director occurs. F3 · derivative.expiration_date: Units are to be settled in cash in ten annual installments commencing within sixty days after the end of the calendar year in which the cessation of the reporting person's service as a Director occurs. F4 · balance_after: Includes 46.092 phantom stock units accrued on October 29, 2021 under the dividend reinvestment provision of the Zimmer Biomet Holdings, Inc. Deferred Compensation Plan for Non-Employee Directors. Read SEC document
September 30, 2021 Filed Oct 4, 2021 21:02 UTC	ECOLAB INC. ECL · Entity 2954	GrantCommon Stock	129.93	$211.66	$27,500.33	Disclosure SEC source: 0001415889-21-004698 · form4-10042021_021037.xml · nonDerivative · entry 2 HIGGINS ARTHUR J · CIK 0001142083 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,385.73 F1 · balance_after: Includes 46.64 shares acquired pursuant to a dividend reinvestment feature of the Ecolab Inc. 2001 Non-Employee Director Stock Option and Deferred Compensation Plan. Read SEC document
September 30, 2021 Filed Oct 4, 2021 21:02 UTC	ECOLAB INC. ECL · Entity 2954	GrantCommon Stock	135.83	$0.00	$0.00	Disclosure SEC source: 0001415889-21-004698 · form4-10042021_021037.xml · nonDerivative · entry 1 HIGGINS ARTHUR J · CIK 0001142083 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,209.16 Read SEC document
September 30, 2021 Filed Oct 4, 2021 21:14 UTC	ZIMMER BIOMET HOLDINGS, INC. ZBH · Entity 3278	GrantPhantom Stock Units · Derivative	219.047	$0.00 Strike: $148.37	$0.00	Disclosure SEC source: 0001062993-21-009203 · form4.xml · derivative · entry 1 HIGGINS ARTHUR J · CIK 0001142083 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,150.105 Underlying: Common Stock · 219.047 shares Expires not disclosed F1 · security: The phantom stock units were accrued under the Zimmer Biomet Holdings, Inc. Deferred Compensation Plan for Non-Employee Directors. F2 · derivative.exercise_price: The Conversion or Exercise Price of Derivative Security is 1-for-1. F3 · derivative.exercise_date: Units are to be settled in cash in ten annual installments commencing within sixty days after the end of the calendar year in which the cessation of the reporting person's service as a Director occurs. F3 · derivative.expiration_date: Units are to be settled in cash in ten annual installments commencing within sixty days after the end of the calendar year in which the cessation of the reporting person's service as a Director occurs. F4 · balance_after: Includes 39.13 phantom stock units accrued on July 31, 2021 under the dividend reinvestment provision of the Zimmer Biomet Holdings, Inc. Deferred Compensation Plan for Non-Employee Directors. Read SEC document
June 30, 2021 Filed Jul 2, 2021 20:53 UTC	ECOLAB INC. ECL · Entity 2954	GrantCommon Stock	133.64	$205.78	$27,500.57	Disclosure SEC source: 0001415889-21-003413 · form4-07022021_010752.xml · nonDerivative · entry 2 HIGGINS ARTHUR J · CIK 0001142083 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,073.33 F1 · balance_after: Includes 44.75 shares acquired pursuant to a dividend reinvestment feature of the Ecolab Inc. 2001 Non-Employee Director Stock Option and Deferred Compensation Plan. Read SEC document
June 30, 2021 Filed Jul 2, 2021 20:53 UTC	ECOLAB INC. ECL · Entity 2954	GrantCommon Stock	139.71	$0.00	$0.00	Disclosure SEC source: 0001415889-21-003413 · form4-07022021_010752.xml · nonDerivative · entry 1 HIGGINS ARTHUR J · CIK 0001142083 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,894.94 Read SEC document
June 30, 2021 Filed Jul 2, 2021 20:40 UTC	ZIMMER BIOMET HOLDINGS, INC. ZBH · Entity 3278	GrantPhantom Stock Units · Derivative	201.951	$0.00 Strike: $160.93	$0.00	Disclosure SEC source: 0001062993-21-006281 · form4.xml · derivative · entry 2 HIGGINS ARTHUR J · CIK 0001142083 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,891.928 Underlying: Common Stock · 201.951 shares Expires not disclosed F1 · security: The phantom stock units were accrued under the Zimmer Biomet Holdings, Inc. Deferred Compensation Plan for Non-Employee Directors. F2 · derivative.exercise_price: The Conversion or Exercise Price of Derivative Security is 1-for-1. F3 · derivative.exercise_date: Units are to be settled in cash in ten annual installments commencing within sixty days after the end of the calendar year in which the cessation of the reporting person's service as a Director occurs. F3 · derivative.expiration_date: Units are to be settled in cash in ten annual installments commencing within sixty days after the end of the calendar year in which the cessation of the reporting person's service as a Director occurs. Read SEC document
May 20, 2021 Filed Jul 2, 2021 20:40 UTC	ZIMMER BIOMET HOLDINGS, INC. ZBH · Entity 3278	GiftCommon Stock	1,000	$0.00	$0.00	Disclosure SEC source: 0001062993-21-006281 · form4.xml · nonDerivative · entry 1 HIGGINS ARTHUR J · CIK 0001142083 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,400 Read SEC document
May 14, 2021 Filed May 18, 2021 23:04 UTC	ZIMMER BIOMET HOLDINGS, INC. ZBH · Entity 3278	GrantRestricted Stock Units · Derivative	779.05	$0.00	$0.00	Disclosure SEC source: 0001062993-21-004825 · form4.xml · derivative · entry 2 HIGGINS ARTHUR J · CIK 0001142083 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,696.86 Underlying: Common Stock · 779.05 shares Expires not disclosed F2 · derivative.exercise_price: The Conversion or Exercise Price of Derivative Security is 1-for-1. F5 · derivative.exercise_date: The Restricted Stock Units are immediately 100% vested and will be subject to mandatory deferral until the later of (1) the reporting person's termination of service as a Director or (2) the date that is three years after the grant date. F5 · derivative.expiration_date: The Restricted Stock Units are immediately 100% vested and will be subject to mandatory deferral until the later of (1) the reporting person's termination of service as a Director or (2) the date that is three years after the grant date. F6 · balance_after: Includes Restricted Stock Units granted in prior years that are subject to different mandatory deferral periods. Read SEC document
May 14, 2021 Filed May 18, 2021 23:04 UTC	ZIMMER BIOMET HOLDINGS, INC. ZBH · Entity 3278	GrantPhantom Stock Units · Derivative	500	$0.00 Strike: $166.87	$0.00	Disclosure SEC source: 0001062993-21-004825 · form4.xml · derivative · entry 1 HIGGINS ARTHUR J · CIK 0001142083 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,689.977 Underlying: Common Stock · 500 shares Expires not disclosed F1 · security: The phantom stock units were accrued under the Zimmer Biomet Holdings, Inc. Deferred Compensation Plan for Non-Employee Directors. F2 · derivative.exercise_price: The Conversion or Exercise Price of Derivative Security is 1-for-1. F3 · derivative.exercise_date: The units are to be settled in shares of Company common stock within sixty days after cessation of the reporting person's service as a Director. F3 · derivative.expiration_date: The units are to be settled in shares of Company common stock within sixty days after cessation of the reporting person's service as a Director. F4 · balance_after: Includes 35.139 phantom stock units accrued on April 30, 2021 under the dividend reinvestment provision of the Zimmer Biomet Holdings, Inc. Deferred Compensation Plan for Non-Employee Directors. Read SEC document
May 06, 2021 Filed May 7, 2021 21:46 UTC	ECOLAB INC. ECL · Entity 2954	GrantNon-Employee Director Stock Option (Right to Buy) · Derivative	1,158	$0.00 Strike: $228.06	$0.00	Disclosure SEC source: 0001415889-21-002361 · form4-05072021_020538.xml · derivative · entry 2 HIGGINS ARTHUR J · CIK 0001142083 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,158 Underlying: Common Stock · 1,158 shares Expires 2031-05-06 F1 · derivative.exercise_date: The option will become exercisable, on a cumulative basis, as to 25% of the option shares (excluding any fractional portion less than one share), on the last day of each of the first, second and third three-month periods following its date of grant and as to the remaining shares on the last day of the fourth three-month period following its date of grant; provided, however, that if a Change in Control of the Company (as that term is defined in the Ecolab Inc. 2001 Non-Employee Director Stock Option and Deferred Compensation Plan) will occur, then the option will become immediately exercisable in full. Read SEC document
May 06, 2021 Filed May 10, 2021 20:37 UTC	ZIMMER BIOMET HOLDINGS, INC. ZBH · Entity 3278	PurchaseCommon Stock	1,000	$171.58	$171,580.00	Disclosure SEC source: 0001062993-21-004308 · form4.xml · nonDerivative · entry 1 HIGGINS ARTHUR J · CIK 0001142083 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,400 Read SEC document
March 31, 2021 Filed Apr 2, 2021 18:36 UTC	ECOLAB INC. ECL · Entity 2954	GrantCommon Stock	128.06	$214.74	$27,499.60	Disclosure SEC source: 0001415889-21-001809 · form4-04022021_110430.xml · nonDerivative · entry 2 HIGGINS ARTHUR J · CIK 0001142083 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,755.23 F1 · balance_after: Includes 45.73 shares acquired pursuant to a dividend reinvestment feature of the Ecolab Inc. 2001 Non-Employee Director Stock Option and Deferred Compensation Plan. Read SEC document
March 31, 2021 Filed Apr 2, 2021 18:36 UTC	ECOLAB INC. ECL · Entity 2954	GrantCommon Stock	133.88	$0.00	$0.00	Disclosure SEC source: 0001415889-21-001809 · form4-04022021_110430.xml · nonDerivative · entry 1 HIGGINS ARTHUR J · CIK 0001142083 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,581.44 Read SEC document
March 31, 2021 Filed Apr 2, 2021 16:42 UTC	ZIMMER BIOMET HOLDINGS, INC. ZBH · Entity 3278	GrantPhantom Stock Units · Derivative	200.655	$0.00 Strike: $161.97	$0.00	Disclosure SEC source: 0001062993-21-003336 · form4.xml · derivative · entry 1 HIGGINS ARTHUR J · CIK 0001142083 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,154.838 Underlying: Common Stock · 200.655 shares Expires not disclosed F1 · security: The phantom stock units were accrued under the Zimmer Biomet Holdings, Inc. Deferred Compensation Plan for Non-Employee Directors. F2 · derivative.exercise_price: The Conversion or Exercise Price of Derivative Security is 1-for-1. F3 · derivative.exercise_date: Units are to be settled in cash in ten annual installments commencing within sixty days after the end of the calendar year in which the cessation of the reporting person's service as a Director occurs. F3 · derivative.expiration_date: Units are to be settled in cash in ten annual installments commencing within sixty days after the end of the calendar year in which the cessation of the reporting person's service as a Director occurs. F4 · balance_after: Includes 39.971 phantom stock units accrued on January 29, 2021 under the dividend reinvestment provision of the Zimmer Biomet Holdings, Inc. Deferred Compensation Plan for Non-Employee Directors. Read SEC document
December 31, 2020 Filed Jan 5, 2021 21:40 UTC	ECOLAB INC. ECL · Entity 2954	GrantCommon Stock	127.44	$215.78	$27,499.26	Disclosure SEC source: 0001415889-21-000100 · form4-01052021_010156.xml · nonDerivative · entry 2 HIGGINS ARTHUR J · CIK 0001142083 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,447.56 F1 · balance_after: Includes 46.54 shares acquired pursuant to a dividend reinvestment feature of the Ecolab Inc. 2001 Non-Employee Director Stock Option and Deferred Compensation Plan. Read SEC document
December 31, 2020 Filed Jan 5, 2021 21:40 UTC	ECOLAB INC. ECL · Entity 2954	GrantCommon Stock	133.24	$0.00	$0.00	Disclosure SEC source: 0001415889-21-000100 · form4-01052021_010156.xml · nonDerivative · entry 1 HIGGINS ARTHUR J · CIK 0001142083 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,273.58 Read SEC document
December 31, 2020 Filed Jan 5, 2021 21:50 UTC	ZIMMER BIOMET HOLDINGS, INC. ZBH · Entity 3278	GrantPhantom Stock Units · Derivative	212.599	$0.00 Strike: $152.87	$0.00	Disclosure SEC source: 0001062993-21-000111 · form4.xml · derivative · entry 1 HIGGINS ARTHUR J · CIK 0001142083 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,914.212 Underlying: Common Stock · 212.599 shares Expires not disclosed F1 · security: The phantom stock units were accrued under the Zimmer Biomet Holdings, Inc. Deferred Compensation Plan for Non-Employee Directors. F2 · derivative.exercise_price: The Conversion or Exercise Price of Derivative Security is 1-for-1. F3 · derivative.exercise_date: Units are to be settled in cash in ten annual installments commencing within sixty days after the end of the calendar year in which the cessation of the reporting person's service as a Director occurs. F3 · derivative.expiration_date: Units are to be settled in cash in ten annual installments commencing within sixty days after the end of the calendar year in which the cessation of the reporting person's service as a Director occurs. F4 · balance_after: Includes 46.491 phantom stock units accrued on October 30, 2020 under the dividend reinvestment provision of the Zimmer Biomet Holdings, Inc. Deferred Compensation Plan for Non-Employee Directors. Read SEC document
December 05, 2020 Filed Dec 7, 2020 21:51 UTC	Assertio Holdings, Inc. ASRT · Entity 37706	Exercise / conversionRestricted Stock Units · Derivative	73,529	$0.00	$0.00	Disclosure SEC source: 0001808665-20-000063 · wf-form4_160737787298298.xml · derivative · entry 4 HIGGINS ARTHUR J · CIK 0001142083 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 73,529 shares Expires 2020-12-05 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock unit represents the contingent right to receive one share of common stock. This transaction represents the settlement of vested restricted stock units in shares of common stock. F2 · price: The derivative securities were granted to the reporting person, and were not sold to the reporting person. As such, the reporting person did not pay any consideration for the derivative securities. Read SEC document
December 05, 2020 Filed Dec 7, 2020 21:51 UTC	Assertio Holdings, Inc. ASRT · Entity 37706	Exercise / conversionCommon Stock	73,529	$0.00	$0.00	Disclosure SEC source: 0001808665-20-000063 · wf-form4_160737787298298.xml · nonDerivative · entry 1 HIGGINS ARTHUR J · CIK 0001142083 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 564,239 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document
December 01, 2020 Filed Dec 2, 2020 21:58 UTC	Assertio Holdings, Inc. ASRT · Entity 37706	Exercise / conversionRestricted Stock Units · Derivative	34,860	$0.00	$0.00	Disclosure SEC source: 0001808665-20-000060 · wf-form4_160694631758789.xml · derivative · entry 2 HIGGINS ARTHUR J · CIK 0001142083 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 34,860 shares Expires 2020-12-01 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock unit represents the contingent right to receive one share of common stock. This transaction represents the settlement of vested restricted stock units in shares of common stock. F3 · price: The derivative securities were granted to the reporting person, and were not sold to the reporting person. As such, the reporting person did not pay any consideration for the derivative securities. F2 · derivative.exercise_date: These Restricted Stock Units are scheduled to vest 25% on December 1, 2017, 25% on December 1, 2018, 25% on December 1, 2019 and 25% on December 1, 2020. Read SEC document

Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.