SEC Form 4 · accession 0001144204-18-064671
ASSEMBLY BIOSCIENCES, INC. · ASMB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jacqueline Sybil Papkoff
Officer — See Remarks
Period of report
Dec 12, 2018
Accepted (ET)
Dec 14, 2018 · 4:31 pm EST
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 | Dec 12, 2018 | A | 10,625 | $0.00 | A | 10,625 | 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 | $24.19 | Dec 12, 2018 | A | 21,250 | A | — | Dec 12, 2028 | Common Stock | 21,250 | 21,250 | D |
Explanation of responses
- F1Represents shares of common stock issuable under a time-based restricted stock unit (RSU) award dated December 12, 2018 that was granted under Assembly Biosciences, Inc.'s 2018 Stock Incentive Plan (2018 Plan). The RSUs vest in approximately equal annual installments, assuming continuous service on each vesting date, on the first, second and third anniversaries of the date of grant.
- F2Grant of stock options under the 2018 Plan. The stock options vest in approximately equal annual installments, assuming continuous service on each vesting date, on the first, second and third anniversaries of the date of grant.
Remarks
SVP-Chief Scientific Officer Microbiome