8-K 1 tv476896_8k.htm FORM 8-K






Washington, D.C. 20549






Pursuant to Section 13 or 15(d) of the

Securities Exchange Act of 1934


Date of Report (Date of earliest event reported): October 10, 2017


assembly biosciences, INC.

(Exact name of registrant as specified in its charter)


Delaware   001-35005   20-8729264

(State or other jurisdiction of




File Number)


(I.R.S. Employer

Identification No.)


11711 N. Meridian Street, Suite 310

Carmel, Indiana 46032

(Address of principal executive offices, including zip code)


(317) 210-9311

(Registrant’s telephone number, including area code)


Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:


o Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)


o Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)


o Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))


o Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))


Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).


Emerging growth company    o


If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act.     o








Item 5.02Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.


On October 10, 2017, Dr. Miguel S. Barbosa, Chief Scientific Officer, Head of Microbiome Program, informed Assembly Biosciences, Inc. (the “Company”) that, due to family medical reasons, and unrelated to the Company or his performance, he intends to step down from all of his positions at the Company effective as of the close of business on October 31, 2017.


Dr. Barbosa will remain with the Company as a consultant in a strategic advisory role and to assist with the leadership transition. The terms of this arrangement have not been finalized. The Company will be initiating a search for a candidate to replace Dr. Barbosa. In the interim, Wayne K. Herber, Ph.D., Senior Vice President, Biological Manufacturing and Thomas E. Rollins, Chief Development Officer will jointly lead and oversee the Microbiome Program.







Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.


Date: October 12, 2017 Assembly Biosciences, Inc.
  By: /s/ Derek A. Small
    Derek A. Small
    President and Chief Executive Officer