Form Type: 4

SEC EDGAR Link
Accession Number:0001209191-21-024631
Date:2021-03-29
Issuer: ASSEMBLY BIOSCIENCES, INC. (ASMB)
Original Submission Date:

Reporting Person:

OKAZAKI JASON A
C/O ASSEMBLY BIOSCIENCES, INC.
331 OYSTER POINT BLVD, FOURTH FLOOR SOUTH SAN FRANCISCO, CA 94080

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK 2021-03-29 A 13,750 a $0.00 67,250 direct
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
STOCK OPTION (RIGHT TO BUY) 4.33 2021-03-29 deemed execution date A 82,500 (a) 2031-03-29 common stock 82,500 $4.33 82,500 direct
Footnotes
IDfootnote
f1 grant of restricted stock units. the restricted stock units vest in four approximately equal installments, assuming continuous service on each vesting date, as follows: march 29, 2022; march 29, 2023; march 29, 2024; and march 29, 2025.
f2 includes 1,000 shares acquired under the assembly biosciences, inc. 2018 employee stock purchase plan on november 14, 2020.
f3 grant of stock options. the stock options vest over four years, assuming continuous service on each vesting date, as follows: 25% vest on the first anniversary of the date of grant, march 29, 2022; and the remaining 75% vest in 36 approximately equal monthly installments, with the options becoming fully vested on march 29, 2025.
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