0001209191-23-021882.txt : 20230331 0001209191-23-021882.hdr.sgml : 20230331 20230331164008 ACCESSION NUMBER: 0001209191-23-021882 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230216 FILED AS OF DATE: 20230331 DATE AS OF CHANGE: 20230331 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Bjorkquist Jeanette M CENTRAL INDEX KEY: 0001945064 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35005 FILM NUMBER: 23788533 MAIL ADDRESS: STREET 1: C/O ASSEMBLY BIOSCIENCES, INC. STREET 2: 331 OYSTER POINT BLVD, FOURTH FLOOR CITY: SOUTH SAN FRANCISCO STATE: CA ZIP: 94080 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: 331 OYSTER POINT BLVD. STREET 2: FOURTH FLOOR CITY: SOUTH SAN FRANCISCO STATE: CA ZIP: 94080 BUSINESS PHONE: (833) 409-4583 MAIL ADDRESS: STREET 1: 331 OYSTER POINT BLVD. STREET 2: FOURTH FLOOR CITY: SOUTH SAN FRANCISCO STATE: CA ZIP: 94080 FORMER COMPANY: FORMER CONFORMED NAME: VENTRUS BIOSCIENCES INC DATE OF NAME CHANGE: 20080211 4 1 doc4.xml FORM 4 SUBMISSION X0407 4 2023-02-16 0 0001426800 ASSEMBLY BIOSCIENCES, INC. ASMB 0001945064 Bjorkquist Jeanette M C/O ASSEMBLY BIOSCIENCES, INC. 331 OYSTER POINT BLVD, FOURTH FLOOR SOUTH SAN FRANCISCO CA 94080 0 1 0 0 Principal Accounting Officer 0 Common Stock 2023-03-29 4 A 0 6250 0.00 A 24580 D Common Stock 2023-03-30 4 S 0 774 0.8232 D 23806 D Stock Option (right to buy) 1.53 2023-02-16 4 A 0 2000 0.00 A 2033-02-16 Common Stock 2000 2000 D Stock Option (right to buy) 0.89 2023-03-29 4 A 0 12500 0.00 A 2033-03-29 Common Stock 12500 12500 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, 2024; March 29, 2025; March 29, 2026; and March 29, 2027. Includes 2,500 shares acquired under the Assembly Biosciences, Inc. Amended and Restated 2018 Employee Stock Purchase Plan on November 14, 2022. The sale reported on this Form 4 represents shares sold by the reporting person to cover tax withholding obligations in connection with the vesting and settlement of Restricted Stock Units ("RSUs"). The sale is mandated by an administrative rule adopted by the Compensation Committee of the Issuer's Board of Directors that requires the satisfaction of tax withholding obligations to be funded by a "sell-to-cover" transaction and does not represent a discretionary transaction by the reporting person. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.7795 to $0.89, inclusive. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within. Grant of stock options. The stock options vest over four years, assuming continuous service on each vesting date, as follows: 25% vest on the first anniversary of the date of grant, February 16, 2024; and the remaining 75% vest in 36 approximately equal monthly installments, with the options becoming fully vested on February 16, 2027. /s/ John O. Gunderson, as Attorney-in-Fact 2023-03-31