SEC Form 4 · accession 0001144204-18-018348
ASSEMBLY BIOSCIENCES, INC. · ASMB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas E Rollins
Officer — Chief Development Officer
Period of report
Mar 29, 2018
Accepted (ET)
Mar 30, 2018 · 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 StockF1 | Mar 29, 2018 | A | 3,750 | $0.00 | A | 3,750 | 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 | $49.14 | Mar 29, 2018 | A | 7,500 | A | — | Mar 29, 2028 | Common Stock | 7,500 | 7,500 | 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.
- F2Grant 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.
Remarks
Exhibit List: Exhibit 24.1 - Power of Attorney