SEC Form 4 · accession 0001144204-17-056293
ASSEMBLY BIOSCIENCES, INC. · ASMB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
William R Ringo
Director
Period of report
Nov 1, 2017
Accepted (ET)
Nov 3, 2017 · 5:15 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 StockF1 | Nov 1, 2017 | M | 1,000 | $7.20 | A | 20,465 | D | |
| Common StockF1,F2 | Nov 1, 2017 | S | 1,000 | $29.55 | 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)F3 | $7.20 | Nov 1, 2017 | M | 1,000 | D | — | Jul 10, 2024 | Common Stock | 1,000 | 57,000 | 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.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $29.36 to $29.75, inclusive. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within.
- F3This 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.