SEC Form 4 · accession 0001144204-18-018347
ASSEMBLY BIOSCIENCES, INC. · ASMB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Uri A Lopatin
Officer — Chief Med. Off., VP Res. Dev.
Period of report
Mar 29, 2018
Accepted (ET)
Mar 30, 2018 · 6:29 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,F2 | Mar 29, 2018 | A | 7,500 | $0.00 | A | 629,151 | D | |
| Common Stock | holding | — | — | — | 5,000 | I | By Wife |
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 | $49.14 | Mar 29, 2018 | A | 15,000 | A | — | Mar 29, 2028 | Common Stock | 15,000 | 15,000 | D |
Explanation of responses
- F1Grant of restricted stock units. The restricted stock units vest in four equal installments, assuming continuous service on each vesting date, as follows: March 29, 2019; March 29, 2020; March 29, 2021; and March 29, 2022.
- F2Total includes 621,651 shares that are held by the Uri Lopatin Revocable Trust for which the reporting person is the trustee and sole beneficiary. Accordingly, these shares are reported as being held directly by the reporting person.
- F3Grant of stock options. The stock options vest over four years, assuming continuous service on each vesting date, as follows: 25% shall vest on the first anniversary of the date of grant, March 29, 2019; and the remaining 75% shall vest in 36 equal monthly installments, with the options becoming fully vested on March 29, 2022.