Jeanette M. Bjorkquist - Sep 9, 2022 Form 3 Insider Report for ASSEMBLY BIOSCIENCES, INC. (ASMB)

Role
Principal Accounting Officer
Signature
/s/ John O. Gunderson, as Attorney-in-Fact
Stock symbol
ASMB
Transactions as of
Sep 9, 2022
Transactions value $
$0
Form type
3
Date filed
9/13/2022, 05:00 PM
Next filing
Mar 31, 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
holding ASMB Common Stock 15.8K Sep 9, 2022 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 Options (right to buy) Sep 9, 2022 Common Stock 7K $15.34 Direct F2
holding ASMB Stock Options (right to buy) Sep 9, 2022 Common Stock 3.1K $14.45 Direct F3
holding ASMB Stock Options (right to buy) Sep 9, 2022 Common Stock 3.7K $4.33 Direct F4
holding ASMB Stock Options (right to buy) Sep 9, 2022 Common Stock 10K $2.30 Direct F5
holding ASMB Stock Options (right to buy) Sep 9, 2022 Common Stock 32K $2.01 Direct F6
* 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, in each case assuming continuous service on each vesting date, as follows: (a) 2,250 RSUs vesting on July 22, 2023; (b) 775 RSUs vesting in approximately equal installments on March 29, 2023 and March 29, 2024; (c) 1,388 RSUs vesting in approximately equal installments on March 29, 2023, March 29, 2024 and March 29, 2025; and (d) 5,000 RSUs vesting in equal installments on March 29, 2023, March 29, 2024, March 29, 2025 and March 29, 2026.
F2 Grant of stock options. Options to purchase 5,833 shares of common stock have vested, and, assuming continuous service on each vesting date, the remaining stock options vest in eight approximately equal monthly installments, with the options becoming fully vested on May 1, 2023.
F3 Grant of stock options. Options to purchase 1,872 shares of common stock have vested, and, assuming continuous service on each vesting date, the remaining stock options vest in 19 approximately equal monthly installments, with the options becoming fully vested on March 29, 2024.
F4 Grant of stock options. Options to purchase 1,310 shares of common stock have vested, and, assuming continuous service on each vesting date, the remaining stock options vest in 31 approximately equal monthly installments, with the options becoming fully vested on March 29, 2025.
F5 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, 2023; and the remaining 75% vest in 36 approximately equal monthly installments, with the options becoming fully vested on March 29, 2026.
F6 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, August 1, 2023; and the remaining 75% vest in 36 approximately equal monthly installments, with the options becoming fully vested on August 1, 2026.

Remarks:

Exhibit List: Exhibit 24.1 - Power of Attorney