0000950170-24-040180.txt : 20240402 0000950170-24-040180.hdr.sgml : 20240402 20240402162016 ACCESSION NUMBER: 0000950170-24-040180 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: Bjorkquist Jeanette M CENTRAL INDEX KEY: 0001945064 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35005 FILM NUMBER: 24814515 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 0001945064 Bjorkquist Jeanette M C/O ASSEMBLY BIOSCIENCES, INC. TWO TOWER PLACE, 7TH FLOOR SOUTH SAN FRANCISCO CA 94080 false true false false Principal Accounting Officer false Common Stock 2024-03-29 4 A false 850 0 A 3280 D Common Stock 2024-04-01 4 S false 114 13.0719 D 3166 D Stock Option (right to buy) 13.30 2024-03-29 4 A false 1550 0 A 2034-03-29 Common Stock 1550 1550 D Grant of restricted stock units. The restricted stock units vest in four approximately equal installments, assuming continuous service on each vesting date, as follows: March 29, 2025; March 29, 2026; March 29, 2027; and March 29, 2028. 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. 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. 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