Key facts
- This page summarizes Luisa M. Stamm's Form 4 filing for ASSEMBLY BIOSCIENCES, INC. (ASMB).
- 4 reported transactions and 2 derivative rows are listed below.
- Accepted by SEC: 31 Mar 2022, 16:48.
Luisa M. Stamm - 29 Mar 2022 Form 4 Insider Report for ASSEMBLY BIOSCIENCES, INC. (ASMB)
- Reporting relationship
- Chief Medical Officer
- Issuer ticker
- ASMB
- Reported as of
- 29 Mar 2022
- Net transaction value
- -$2,250
- Reporting owner signature
- /s/ John O. Gunderson, as Attorney-in-Fact
Source evidence
Original filing metadata and source links for verification.
3 source fields
Reporting owner
1 detail
Key filing fact
Luisa M. Stamm filed Form 4 for ASSEMBLY BIOSCIENCES, INC. (ASMB) on 31 Mar 2022.
Change
- No earlier filing in this sequence is available for direct comparison.
- Current net transaction value: -$2,250.
Research use
- This tells you what this filing adds before you inspect full transaction and derivative tables.
- You can trace every row back to the original SEC filing document.
Evidence
Filed on Form 4
View source filing
Ownership activity is grounded in SEC Form 4 disclosures.
Reported non-derivative transactions
Shares, units, or other non-derivative securities reported in this filing.
ASMB
transaction
Common Stock
Award
- Transaction value
- $0
- Shares
- +22,500
- Change %
- +119%
- Price
- $0.000000
- Shares after
- 41,353
- Date
- 29 Mar 2022
- Ownership
- Direct
- Footnotes
- F1
ASMB
transaction
Common Stock
Sale
- Transaction value
- $2,250
- Shares
- -1,038
- Change %
- -2.5%
- Price
- $2.17
- Shares after
- 40,315
- Date
- 30 Mar 2022
- Ownership
- Direct
- Footnotes
- F2, F3
Reported derivative securities
Options, warrants, convertible securities, or similar derivative positions disclosed in the filing.
ASMB
transaction
Derivative
Stock Option (right to buy)
Award
- Transaction value
- $0
- Shares
- +90,000
- Change %
- Price
- $0.000000
- Shares after
- 90,000
- Date
- 29 Mar 2022
- Ownership
- Direct
- Underlying class
- Common Stock
- Underlying amount
- 90,000
- Exercise price
- $2.30
- Footnotes
- F4
ASMB
transaction
Derivative
Performance-based Restricted Stock Units
Award
- Transaction value
- $0
- Shares
- +22,500
- Change %
- Price
- $0.000000
- Shares after
- 22,500
- Date
- 29 Mar 2022
- Ownership
- Direct
- Underlying class
- Common Stock
- Underlying amount
- 22,500
- Exercise price
- Footnotes
- F5
* marks a reported price that did not pass the local price check.
Additional SEC filing notes
Filing notes and footnotes
Explanation of responses 5 footnotes
Footnote F1
Grant of restricted stock units. The restricted stock units vest in four equal installments, assuming continuous service on each vesting date, as follows: March 29, 2023; March 29, 2024; March 29, 2025; and March 29, 2026.
Footnote F2
The sale reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person and represents shares sold to cover tax withholding obligations in connection with the vesting of restricted stock units.
Footnote F3
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.10 to $2.25, inclusive. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within.
Footnote F4
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.
Footnote F5
Each performance-based restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's common stock. The shares are earned if either of two trading price metrics are met (each a "Stock Metric") either on or before the second or on or before the fourth anniversary of the grant date, as applicable. If a Stock Metric is met on or before the first anniversary of the grant date, then 50% of the RSUs vest on the first anniversary of the grant date and the remainder will vest on the second anniversary of the grant date. If a Stock Metric is achieved after the first anniversary of the grant date and on or before the fourth anniversary of the grant date, then 50% of the RSUs vest on the date that the Stock Metric is achieved and the remaining 50% of the RSUs vest on the first anniversary of the initial vesting date. Special vesting provisions apply in the case of a change in control transaction.