0001144204-19-017733.txt : 20190402
0001144204-19-017733.hdr.sgml : 20190402
20190402163055
ACCESSION NUMBER: 0001144204-19-017733
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20190329
FILED AS OF DATE: 20190402
DATE AS OF CHANGE: 20190402
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: 19725391
MAIL ADDRESS:
STREET 1: C/O ASSEMBLY BIOSCIENCES, INC.
STREET 2: 99 HUDSON STREET, 5TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10013
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
tv517878_4.xml
OWNERSHIP DOCUMENT
X0306
4
2019-03-29
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 and President
Common Stock
2019-03-29
4
A
0
32500
0
A
701791
D
Stock Option (right to buy)
19.69
2019-03-29
4
A
0
65000
0
A
2029-03-29
Common Stock
65000
65000
D
Grant of restricted stock units. The restricted stock units vest in four equal installments, assuming continuous service on each vesting date, as follows: March 29, 2020; March 29, 2021; March 29, 2022; and March 29, 2023.
Grant of stock options. The stock options vest over four years, assuming continuous service on each vesting date, as follows: 25% shall vest on the first anniversary of the date of grant, March 29, 2020; and the remaining 75% shall vest in 36 approximately equal monthly installments, with the options becoming fully vested on March 29, 2023.
/s/ John O. Gunderson as Attorney-in-Fact
2019-04-02