0001144204-18-064668.txt : 20181214 0001144204-18-064668.hdr.sgml : 20181214 20181214163031 ACCESSION NUMBER: 0001144204-18-064668 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20181212 FILED AS OF DATE: 20181214 DATE AS OF CHANGE: 20181214 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: COOPER GRAHAM K CENTRAL INDEX KEY: 0001396943 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35005 FILM NUMBER: 181235923 MAIL ADDRESS: STREET 1: C/O RECEPTOS, INC. STREET 2: 10835 ROAD TO THE CURE, SUITE 205 CITY: SAN DIEGO STATE: CA ZIP: 92121 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: ASSEMBLY BIOSCIENCES, INC. CENTRAL INDEX KEY: 0001426800 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 11711 N. MERIDIAN STREET STREET 2: SUITE 310 CITY: CARMEL STATE: IN ZIP: 46032 BUSINESS PHONE: (212) 554-4388 MAIL ADDRESS: STREET 1: 11711 N. MERIDIAN STREET STREET 2: SUITE 310 CITY: CARMEL STATE: IN ZIP: 46032 FORMER COMPANY: FORMER CONFORMED NAME: VENTRUS BIOSCIENCES INC DATE OF NAME CHANGE: 20080211 4 1 tv509183_form4.xml OWNERSHIP DOCUMENT X0306 4 2018-12-12 0 0001426800 ASSEMBLY BIOSCIENCES, INC. ASMB 0001396943 COOPER GRAHAM K C/O ASSEMBLY BIOSCIENCES, INC. 11711 N. MERIDIAN STREET, SUITE 310 CARMEL IN 46032 0 1 0 0 See Remarks Common Stock 2018-12-12 4 A 0 100000 0 A 100000 D Represents shares of common stock issuable under a time-based restricted stock unit ("RSU") award dated December 12, 2018 that was granted under Assembly Biosciences, Inc.'s 2018 Stock Incentive Plan. Assuming continuous service through each vesting date, 50,000 RSUs vest in the following installments: 20,000 RSUs vest on December 12, 2019 and 10,000 RSUs vest on each of June 12, 2020, December 12, 2020 and June 12, 2021. The remaining 50,000 RSUs vest on June 12, 2021, subject to accelerated vesting upon achievement of certain performance milestones, but in no event will such RSUs vest as a result of such performance milestones prior to December 12, 2019. Chief Financial Officer and Chief Operating Officer /s/ Elizabeth H. Lacy, as Attorney-in-Fact 2018-12-14