Michael P. Samar - Jun 4, 2021 Form 3 Insider Report for ASSEMBLY BIOSCIENCES, INC. (ASMB)

Role
SVP, Fin. & Bus. Ops, PFO, PAO
Signature
/s/ John O. Gunderson as Attorney-in-Fact
Stock symbol
ASMB
Transactions as of
Jun 4, 2021
Transactions value $
$0
Form type
3
Date filed
6/4/2021, 05:01 PM
Next filing
Jul 22, 2021

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
holding ASMB Common Stock 40.8K Jun 4, 2021 Direct F1

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
holding ASMB Stock Option (right to buy) Jun 4, 2021 Common Stock 44K $21.31 Direct F2
holding ASMB Stock Option (right to buy) Jun 4, 2021 Common Stock 6K $49.14 Direct F3
holding ASMB Stock Option (right to buy) Jun 4, 2021 Common Stock 17K $24.19 Direct F4
holding ASMB Stock Option (right to buy) Jun 4, 2021 Common Stock 10K $19.69 Direct F5
holding ASMB Stock Option (right to buy) Jun 4, 2021 Common Stock 5K $9.31 Direct F6
holding ASMB Stock Option (right to buy) Jun 4, 2021 Common Stock 20.3K $14.45 Direct F7
holding ASMB Stock Option (right to buy) Jun 4, 2021 Common Stock 39.2K $4.33 Direct F8
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Holdings include grants of restricted stock units (RSUs) vesting, assuming continuous service on each vesting date, as follows: (a) 2,834 RSUs vesting on December 12, 2021; (b) 750 RSUs vesting on March 29, 2022; (c) 2,500 RSUs vesting in equal installments on March 29, 2022 and March 29, 2023; (d) 1,875 RSUs vesting in equal installments on October 1, 2021, October 1, 2022 and October 1, 2023; (e) 7,613 RSUs vesting in approximately equal installments on March 29, 2022, March 29, 2023 and March 29, 2024; and (f) 6,600 RSUs vesting in approximately equal installments on March 29, 2022, March 29, 2023, March 29, 2024 and March 29, 2025.
F2 Grant of stock options. Options to purchase 42,167 shares of common stock have vested, and, assuming continuous service on each vesting date, the remaining stock options vest in two approximately equal monthly installments, with the option becoming fully vested on July 27, 2021.
F3 Grant of stock options. Options to purchase 4,750 shares of common stock have vested, and, assuming continuous service on each vesting date, the remaining stock options vest in ten equal monthly installments, with the options becoming fully vested on March 29, 2022.
F4 Grant of stock options. Options to purchase 11,333 shares of common stock have vested, and, assuming continuous service through the vesting date, the remaining stock options vest on December 12, 2021.
F5 Grant of stock options. Options to purchase 5,416 shares of common stock have vested, and, assuming continuous service on each vesting date, the remaining stock options vest in 22 approximately equal monthly installments, with the options becoming fully vested on March 29, 2023.
F6 Grant of stock options. Options to purchase 2,083 shares of common stock have vested, and, assuming continuous service on each vesting date, the remaining stock options vest in 28 approximately equal monthly installments, with the options becoming fully vested on October 1, 2023.
F7 Grant of stock options. Options to purchase 5,920 shares of common stock have vested, and, assuming continuous service on each vesting date, the remaining stock options vest in 34 approximately equal monthly installments, with the options becoming fully vested on March 29, 2024.
F8 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, March 29, 2022; and the remaining 75% shall vest in 36 approximately equal monthly installments, with the options becoming fully vested on March 29, 2025.

Remarks:

Exhibit List: Exhibit 24.1 - Power of Attorney