Form 4 Assembly Biosciences, Inc.

Statement of changes in beneficial ownership of securities

Published: 2019-11-07 17:47:49
Submitted: 2019-11-07
Period Ending In: 2019-11-06
doc4.html FORM 4 SUBMISSION


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SEC FORM 4

SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response: 0.5
  
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person*
Stamm Luisa M

(Last) (First) (Middle)
C/O ASSEMBLY BIOSCIENCES, INC.
11711 N. MERIDIAN STREET, SUITE 310

(Street)
CARMEL IN 46032

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
ASSEMBLY BIOSCIENCES, INC. [ ASMB ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
Chief Medical Officer
3. Date of Earliest Transaction (Month/Day/Year)
11/06/2019
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 11/06/2019 A 12,000(1) A $0.00 12,000 D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Stock Option (right to buy) $16.11 11/06/2019 A 165,000 (2) 11/06/2029 Common Stock 165,000 $0.00 165,000 D
Explanation of Responses:
1. Grant of restricted stock units. The restricted stock units vest, assuming continuous service, in one installment on the first anniversary of the grant date.
2. Grant 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, November 6, 2020; and the remaining 75% shall vest in 36 approximately equal monthly installments, with the options becoming fully vested on November 6, 2023.
Remarks:
/s/ John O. Gunderson, as Attorney-in-Fact 11/07/2019
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
1
doc4.xml FORM 4 SUBMISSION
Schema Version:
X0306
Document Type:
4
Period Of Report:
2019-11-06
Not Subject To Section16:
0

Issuer

Issuer Cik
0001426800
Issuer Name
ASSEMBLY BIOSCIENCES, INC.
Issuer Trading Symbol
ASMB

Reporting Owner

Reporting Owner Id

Rpt Owner Cik
0001793158
Rpt Owner Name
Stamm Luisa M

Reporting Owner Address

Rpt Owner Street1
C/O ASSEMBLY BIOSCIENCES, INC.
Rpt Owner Street2
11711 N. MERIDIAN STREET, SUITE 310
Rpt Owner City
CARMEL
Rpt Owner State
IN
Rpt Owner Zip Code
46032

Reporting Owner Relationship

Is Director
0
Is Officer
1
Is Ten Percent Owner
0
Is Other
0
Officer Title
Chief Medical Officer

Non Derivative Transaction

Security Title
Common Stock
Transaction Date
2019-11-06

Transaction Coding

Transaction Form Type
4
Transaction Code
A
Equity Swap Involved
0

Transaction Amounts

Transaction Shares

Value
12000
@attributes Id
F1
Transaction Price Per Share
0.00
Transaction Acquired Disposed Code
A
Shares Owned Following Transaction
12000
Direct Or Indirect Ownership
D

Derivative Transaction

Security Title
Stock Option (right to buy)
Conversion Or Exercise Price
16.11
Transaction Date
2019-11-06

Transaction Coding

Transaction Form Type
4
Transaction Code
A
Equity Swap Involved
0

Transaction Amounts

Transaction Shares
165000
Transaction Price Per Share
0.00
Transaction Acquired Disposed Code
A
@attributes Id
F2
Expiration Date
2029-11-06

Underlying Security

Underlying Security Title
Common Stock
Underlying Security Shares
165000
Shares Owned Following Transaction
165000
Direct Or Indirect Ownership
D

Footnote

0
Grant of restricted stock units. The restricted stock units vest, assuming continuous service, in one installment on the first anniversary of the grant date.
1
Grant 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, November 6, 2020; and the remaining 75% shall vest in 36 approximately equal monthly installments, with the options becoming fully vested on November 6, 2023.

Owner Signature

Signature Name
/s/ John O. Gunderson, as Attorney-in-Fact
Signature Date
2019-11-07
Additional Files
FileSequenceDescriptionTypeSize
0001209191-19-055724.txt   Complete submission text file   7537
$ASMB

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