0001144204-18-037217.txt : 20180703 0001144204-18-037217.hdr.sgml : 20180703 20180703160040 ACCESSION NUMBER: 0001144204-18-037217 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180702 FILED AS OF DATE: 20180703 DATE AS OF CHANGE: 20180703 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: RINGO WILLIAM R CENTRAL INDEX KEY: 0001238325 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35005 FILM NUMBER: 18937024 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 v497988_4.xml OWNERSHIP DOCUMENT X0306 4 2018-07-02 0 0001426800 ASSEMBLY BIOSCIENCES, INC. ASMB 0001238325 RINGO WILLIAM R C/O ASSEMBLY BIOSCIENCES, INC. 11711 N. MERIDIAN STREET, SUITE 310 CARMEL IN 46032 1 0 0 0 Common Stock 2018-07-02 4 M 0 1000 7.20 A 20465 D Common Stock 2018-07-02 4 S 0 1000 38.503 D 19465 D Stock Option (right to buy) 7.20 2018-07-02 4 M 0 1000 0 D 2024-07-10 Common Stock 1000 49000 D The option exercise and sale reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted 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 $38.50 to $38.515, 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. This option, initially representing a right to purchase 64,000 shares, became exercisable in three equal installments on July 11, 2014; July 11, 2015; and July 11, 2016. /s/ Elizabeth H. Lacy, as Attorney-in-Fact 2018-07-03