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