SEC Form 4 · accession 0001144204-18-048565
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
Sep 5, 2018
Accepted (ET)
Sep 7, 2018 · 4:44 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,F3 | Sep 5, 2018 | S | 15,204 | $40.0912 | D | 613,947 | D | |
| Common StockF1,F4,F5 | Sep 6, 2018 | S | 336 | $40.006 | D | 613,611 | D | |
| Common Stock | holding | — | — | — | 5,000 | I | By Wife |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The 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 $40.00 to $40.41, 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 the price range.
- F3Total includes 606,447 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.
- F4The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $40.00 to $40.02, 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 the price range.
- F5Total includes 606,111 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.
Remarks
Exhibit List: Exhibit 24.1 - Power of Attorney