0001144204-17-018203.txt : 20170331 0001144204-17-018203.hdr.sgml : 20170331 20170331161515 ACCESSION NUMBER: 0001144204-17-018203 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20170329 FILED AS OF DATE: 20170331 DATE AS OF CHANGE: 20170331 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Small Derek A CENTRAL INDEX KEY: 0001613260 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35005 FILM NUMBER: 17730529 MAIL ADDRESS: STREET 1: C/O ASSEMBLY BIOSCIENCES, INC. STREET 2: 99 HUDSON STREET, 5TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10013 4 1 v463068_4.xml OWNERSHIP DOCUMENT X0306 4 2017-03-29 0 0001426800 ASSEMBLY BIOSCIENCES, INC. ASMB 0001613260 Small Derek A C/O ASSEMBLY BIOSCIENCES, INC. 11711 N. MERIDIAN STREET, SUITE 310 CARMEL IN 46032 1 1 0 0 CEO, President and Director Stock Option (right to buy) 25.34 2017-03-29 4 A 0 40000 0 A 2027-03-29 Common Stock 40000 40000 D The options vest over two years as follows: 50% shall vest on the first anniversary of the date of grant, March 29, 2018; and the remaining 50% shall vest in 12 equal monthly installments, with the options becoming fully vested on March 29, 2019. /s/ David J. Barrett, as Attorney-in-Fact 2017-03-31 EX-24 2 v463068_ex24.htm EXHIBIT 24

Exhibit 24

 

 

 

 

LIMITED POWER OF ATTORNEY

 

The undersigned hereby constitutes and appoints each of David J. Barrett and Elizabeth Lacy, signing singly, and with full power of substitution, the undersigned's true and lawful attorney-in-fact to:

 

(1)               execute for and on behalf of the undersigned, in the undersigned's capacity as officer and/or director of Assembly Biosciences, Inc. (the "Company"), from time to time the following U.S. Securities and Exchange Commission ("SEC") forms: (i) Form ID, including any attached documents, to effect the assignment of codes to the undersigned to be used in the transmission of information to the SEC using the EDGAR System; (ii) Form 3, Initial Statement of Beneficial Ownership of Securities, including any attached documents; (iii) Form 4, Statement of Changes in Beneficial Ownership of Securities, including any attached documents; (iv) Form 5, Annual Statement of Beneficial Ownership of Securities in accordance with Section 16(a) of the Securities Exchange Act of 1934, as amended, and the rules thereunder, including any attached documents; (v) Schedule 13D and (vi) amendments of each thereof, in accordance with the Securities Exchange Act of 1934, as amended, and the rules thereunder, including any attached documents;

 

(2)                do and perform any and all acts for and on behalf of the undersigned which may be necessary or desirable to complete and execute any such Form 3, 4 or 5, Schedule 13D or any amendment(s) thereto, and timely file such form(s) with the SEC and any securities exchange, national association or similar authority; and

 

(3)               take any other action of any type whatsoever in connection with the foregoing which, in the opinion of such attorney-in-fact, may be of benefit to, in the best interest of, or legally required by, the undersigned, it being understood that the documents executed by such attorney-in-fact on behalf of the undersigned pursuant to this Power of Attorney shall be in such form and shall contain such te1ms and conditions as such attorney-in-fact may approve in such attorney-in-fact's discretion.

 

The undersigned hereby grants to each such attorney-in-fact, acting singly, full power and authority to do and perform any and every act and thing whatsoever requisite, necessary or proper to be done in the exercise of any of the rights and powers herein granted, as fully to all intents and purposes as the undersigned might or could do if personally present, with full power of substitution or revocation, hereby ratifying and confirming all that such attorney-in-fact, or such attorney-in-fact's substitute or substitutes, shall lawfully do or cause to be done by virtue of this power of attorney and the rights and powers herein granted. The undersigned acknowledges that the foregoing attorneys-in-fact, in serving in such capacity at the request of the undersigned, are not assuming, nor is the Company assuming, any of the undersigned's responsibilities to comply with Section 16 or Regulation 13D-G of the Securities Exchange Act of 1934, as amended. The undersigned hereby agrees to indemnify the attorneys-in-fact and the Company from and against any demand, damage, loss, cost or expense arising from any false or misleading information provided by the undersigned to the attorneys-in-fact.

 

This Power of Attorney shall remain in full force and effect until the undersigned is no longer required to file such forms with respect to the undersigned's holdings of and transactions in securities issued by the Company, unless earlier revoked by the undersigned in a signed writing delivered to the foregoing attorneys-in-fact. This Power of Attorney supersedes any prior power of attorney in connection with the undersigned's capacity as an officer and/or director of the Company. This Power of Attorney shall expire as to any individual attorney-in-fact if such attorney-in-fact ceases to be an executive officer of, or legal counsel to, the Company.

 

IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to be executed as of June 2, 2016.

 

/s/ Derek A. Small

Derek A. Small