0000950170-24-038630.txt : 20240329 0000950170-24-038630.hdr.sgml : 20240329 20240329160511 ACCESSION NUMBER: 0000950170-24-038630 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240327 FILED AS OF DATE: 20240329 DATE AS OF CHANGE: 20240329 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Okazaki Jason A CENTRAL INDEX KEY: 0001807214 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35005 FILM NUMBER: 24804130 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 2024-03-27 0001426800 ASSEMBLY BIOSCIENCES, INC. ASMB 0001807214 Okazaki Jason A C/O ASSEMBLY BIOSCIENCES, INC. TWO TOWER PLACE, 7TH FLOOR SOUTH SAN FRANCISCO CA 94080 true true false false CEO and President false Common Stock 2024-03-27 4 S false 392 12.87 D 14180 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. Reflects equitable adjustment of the number of shares of common stock beneficially owned by the reporting person as a result of a 1-for-12 reverse stock split of the Issuer's common stock effected February 9, 2024, which is exempt from reporting pursuant to Rule 16a-9. /s/ John O. Gunderson, as Attorney-in-Fact 2024-03-29