SEC Form 4 · accession 0001144204-16-106878
ASSEMBLY BIOSCIENCES, INC. · ASMB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas E Rollins
Officer — See Remarks
Period of report
Jun 2, 2016
Accepted (ET)
Jun 3, 2016 · 7:21 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001426800
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy)F1,F2 | $6.36 | Jun 2, 2016 | A | 40,263 | A | — | Feb 17, 2026 | Common Stock | 40,263 | 40,263 | D |
Explanation of responses
- F1The Compensation Committee of the Issuer approved the grant of a stock option to purchase 40,263 shares of Common Stock at an exercise price of $6.36 per share to the Reporting Person on February 17, 2016. This grant was approved subject to and contingent upon approval by the stockholders of the Company at its 2016 annual meeting of the amendment to the 2014 Stock Incentive Plan (the "Amendment"), to increase the shares authorized for issuance thereunder. On June 2, 2016, the stockholders of the Issuer approved the Amendment.
- F2The shares of common stock subject to the option shall vest and become exercisable in four (4) equal annual installments over a four-year period, with each installment vesting upon the anniversary of January 11, 2016, such that the option shall be fully vested and exercisable on January 11, 2020.
Remarks
Chief Development Officer & Head of Microbiome Program