SEC Form 4 · accession 0001144204-17-026921
ASSEMBLY BIOSCIENCES, INC. · ASMB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
William R Ringo
Director
Period of report
May 10, 2017
Accepted (ET)
May 12, 2017 · 4:30 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001426800
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | May 10, 2017 | M | 5,000 | $7.20 | A | 25,465 | D | |
| Common Stock | May 10, 2017 | F | 1,539 | $23.39 | D | 23,926 | D | |
| Common StockF1 | May 10, 2017 | G | 3,461 | $0.00 | D | 20,465 | D | |
| Common StockF2 | May 10, 2017 | G | 3,461 | $0.00 | A | 3,461 | I | By Trust |
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)F3 | $7.20 | May 10, 2017 | M | 5,000 | D | — | Jul 10, 2024 | Common Stock | 5,000 | 59,000 | D |
Explanation of responses
- F1This transaction involved a gift of securities by the Reporting Person to the Reporting Person's revocable trust, the William R. Ringo Rev. Trust (the "Trust"). The reporting Person is the sole trustee of the Trust.
- F2The securities are held by the Trust and the Reporting Person is the sole trustee of the Trust.
- F31/3 of this option vested on 7/11/2014, and the remaining 2/3 vested in equal installments on 7/11/2015 and 7/11/2016. This option was fully vested as of 7/11/2016.