SEC FORM 3

SEC Form 3

FORM 3

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

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1. Name and Address of Reporting Person^*

Bjorkquist Jeanette M

(Last)

(First)

(Middle)

C/O ASSEMBLY BIOSCIENCES, INC.

331 OYSTER POINT BLVD, FOURTH FLOOR

(Street)

SOUTH SAN FRANCISCO

94080

(City)

(State)

(Zip)

2. Date of Event Requiring Statement (Month/Day/Year)
09/09/2022

3. Issuer Name and Ticker or Trading Symbol
ASSEMBLY BIOSCIENCES, INC. [ ASMB ]

4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director	10% Owner
X	Officer (give title below)	Other (specify below)
	Principal Accounting Officer

5. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4)	2. Amount of Securities Beneficially Owned (Instr. 4)	3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock	15,830⁽¹⁾	D

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4)	2. Date Exercisable and Expiration Date (Month/Day/Year)		3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)		4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
1. Title of Derivative Security (Instr. 4)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
Stock Options (right to buy)	⁽²⁾	05/01/2029	Common Stock	7,000	$15.34	D
Stock Options (right to buy)	⁽³⁾	03/29/2030	Common Stock	3,100	$14.45	D
Stock Options (right to buy)	⁽⁴⁾	03/29/2031	Common Stock	3,700	$4.33	D
Stock Options (right to buy)	⁽⁵⁾	03/29/2032	Common Stock	10,000	$2.3	D
Stock Options (right to buy)	⁽⁶⁾	08/01/2032	Common Stock	32,000	$2.01	D

Explanation of Responses:

1. Holdings include grants of restricted stock units (RSUs) vesting, in each case assuming continuous service on each vesting date, as follows: (a) 2,250 RSUs vesting on July 22, 2023; (b) 775 RSUs vesting in approximately equal installments on March 29, 2023 and March 29, 2024; (c) 1,388 RSUs vesting in approximately equal installments on March 29, 2023, March 29, 2024 and March 29, 2025; and (d) 5,000 RSUs vesting in equal installments on March 29, 2023, March 29, 2024, March 29, 2025 and March 29, 2026.

2. Grant of stock options. Options to purchase 5,833 shares of common stock have vested, and, assuming continuous service on each vesting date, the remaining stock options vest in eight approximately equal monthly installments, with the options becoming fully vested on May 1, 2023.

3. Grant of stock options. Options to purchase 1,872 shares of common stock have vested, and, assuming continuous service on each vesting date, the remaining stock options vest in 19 approximately equal monthly installments, with the options becoming fully vested on March 29, 2024.

4. Grant of stock options. Options to purchase 1,310 shares of common stock have vested, and, assuming continuous service on each vesting date, the remaining stock options vest in 31 approximately equal monthly installments, with the options becoming fully vested on March 29, 2025.

5. 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, 2023; and the remaining 75% vest in 36 approximately equal monthly installments, with the options becoming fully vested on March 29, 2026.

6. 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, August 1, 2023; and the remaining 75% vest in 36 approximately equal monthly installments, with the options becoming fully vested on August 1, 2026.

Remarks:

Exhibit List: Exhibit 24.1 - Power of Attorney

	/s/ John O. Gunderson, as Attorney-in-Fact	09/13/2022
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.