0001209191-20-001149.txt : 20200103 0001209191-20-001149.hdr.sgml : 20200103 20200103165851 ACCESSION NUMBER: 0001209191-20-001149 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200102 FILED AS OF DATE: 20200103 DATE AS OF CHANGE: 20200103 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: 20506445 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 doc4.xml FORM 4 SUBMISSION X0306 4 2020-01-02 0 0001426800 ASSEMBLY BIOSCIENCES, INC. ASMB 0001613260 Small Derek A C/O ASSEMBLY BIOSCIENCES 331 OYSTER POINT BLVD, 4TH FLOOR SOUTH SAN FRANCISCO CA 94080 1 0 0 0 Common Stock 2020-01-02 4 A 0 125000 0.00 A 828791 D Grant of restricted stock units pursuant to the terms of a consulting agreement effective as of January 1, 2020 between the reporting person and the issuer. Assuming continuous service through each vesting date, the restricted stock units vest in 12 approximately equal installments on the last day of each month for 12 months. Includes 2,000 shares acquired under the Assembly Biosciences, Inc. 2018 Employee Stock Purchase Plan in 2019 through transactions that were exempt under Rule 16b-3(c). /s/ John O. Gunderson, as Attorney-in-Fact 2020-01-03