0000950170-24-040162.txt : 20240402
0000950170-24-040162.hdr.sgml : 20240402
20240402161507
ACCESSION NUMBER: 0000950170-24-040162
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20240329
FILED AS OF DATE: 20240402
DATE AS OF CHANGE: 20240402
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: White Nicole S
CENTRAL INDEX KEY: 0001993254
ORGANIZATION NAME:
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35005
FILM NUMBER: 24814366
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]
ORGANIZATION NAME: 03 Life Sciences
IRS NUMBER: 000000000
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: TWO TOWER PLACE
STREET 2: 7TH FLOOR
CITY: SOUTH SAN FRANCISCO
STATE: CA
ZIP: 94080
BUSINESS PHONE: (833) 409-4583
MAIL ADDRESS:
STREET 1: TWO TOWER PLACE
STREET 2: 7TH FLOOR
CITY: SOUTH SAN FRANCISCO
STATE: CA
ZIP: 94080
FORMER COMPANY:
FORMER CONFORMED NAME: VENTRUS BIOSCIENCES INC
DATE OF NAME CHANGE: 20080211
4
1
ownership.xml
4
X0508
4
2024-03-29
0001426800
ASSEMBLY BIOSCIENCES, INC.
ASMB
0001993254
White Nicole S
C/O ASSEMBLY BIOSCIENCES, INC.
TWO TOWER PLACE, 7TH FLOOR
SOUTH SAN FRANCISCO
CA
94080
false
true
false
false
Chief Manufacturing Officer
false
Common Stock
2024-04-01
4
S
false
197
13.0719
D
10947
D
Stock Option (right to buy)
13.30
2024-03-29
4
A
false
17500
0
A
2034-03-29
Common Stock
17500
17500
D
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. 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 $12.90 to $13.30, 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.
Reflects equitable adjustment of the number of shares beneficially owned by the reporting person resulting from a 1-for-12 reverse stock split of the Issuer's common stock effected February 9, 2023, which is exempt from reporting pursuant to Rule 16a-9.
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, March 29, 2025; and the remaining 75% vest in 36 approximately equal monthly installments, with the options becoming fully vested on March 29, 2028.
/s/ John O. Gunderson, as Attorney-in-Fact
2024-04-02