SEC Form 4 · accession 0001144204-17-052886
ASSEMBLY BIOSCIENCES, INC. · ASMB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
William R Ringo
Director
Period of report
Jun 23, 2017
Accepted (ET)
Oct 17, 2017 · 6:30 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 | Jun 23, 2017 | G | 1,000 | $0.00 | D | 19,465 | D | |
| Common StockF1 | Oct 16, 2017 | M | 1,000 | $7.20 | A | 20,465 | D | |
| Common StockF1 | Oct 16, 2017 | S | 1,000 | $33.70 | D | 19,465 | D |
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)F2 | $7.20 | Oct 16, 2017 | M | 1,000 | D | — | Jul 10, 2024 | Common Stock | 1,000 | 58,000 | D |
Explanation of responses
- F1The option exercise and sale reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.
- F2This option, initially representing a right to purchase 64,000 shares, became exercisable in three equal installments on July 11, 2014; July 11, 2015; and July 11, 2016.