ASSEMBLY BIOSCIENCES, INC. 4

Accession 0001144204-14-042881

$ASMBCIK 0001426800operating

View on SEC.gov Company Profile

Filed

Jul 13, 8:00 PM ET

Accepted

Jul 14, 5:01 PM ET

Size

19.3 KB

Accession

0001144204-14-042881

Insider Transaction Report

Form 4

Period: 2014-07-10

ASSEMBLY BIOSCIENCES, INC.VTUS

BARRETT DAVID JONATHAN

Chief Financial Officer

Transactions

Disposition to Issuer
Stock Options (right to buy)
2014-07-10−61,184→ 0 total
Exercise: $30.00Exp: 2020-12-22→ Common Stock (61,184 underlying)
Disposition to Issuer
Restricted Stock Units
2014-07-10−40,000→ 0 total
Exp: 2016-06-30→ Common Stock (40,000 underlying)
Award
Stock Options (right to buy)
2014-07-10+741,800→ 741,800 total
Exercise: $7.25Exp: 2024-07-10→ Common Stock (741,800 underlying)
Disposition to Issuer
Stock Options (right to buy)
2014-07-10−42,600→ 0 total
Exercise: $19.05Exp: 2024-01-15→ Common Stock (42,600 underlying)
Disposition to Issuer
Stock Options (right to buy)
2014-07-10−8,000→ 0 total
Exercise: $40.50Exp: 2020-12-22→ Common Stock (8,000 underlying)
Disposition to Issuer
Phantom Stock
2014-07-10−10,000→ 0 total
→ Common Stock (10,000 underlying)

Holdings

Common Stock
9,396

Footnotes (11)

[F1]Adjusted to reflect the 1-for-5 reverse stock split that occurred on July 11, 2014.
[F10]Each share of phantom stock represents the right to receive one share of the Issuer's common stock.
[F11]The phantom stock becomes payable on the earliest to occur of (a) termination of employment, (b) a change in control of the Issuer, or (c) April 1, 2015.
[F2]The options vest 1/3 on 7/11/2014, and the remaining 2/3 will vest in equal installments on the first and second anniversaries after 7/11/2014.
[F3]This award was canceled by mutual agreement of the reporting person and the Company in consideration of options granted on July 10, 2014.
[F4]The options vest 1/3 on 1/15/2015, and the remaining 2/3 will vest in equal installments on the second and third anniversaries after 1/15/2014.
[F5]The options vested 1/3 on 1/15/2013, and the remaining 2/3 will vest in equal installments on the first and second anniversaries after 1/15/2013.
[F6]The options vested 1/3 on 12/22/2010, and the remaining 2/3 will vest in equal installments on the first and second anniversaries after 12/22/2010.
[F7]Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.
[F8]The restricted stock units vest in four equal amounts (25% each) as follows: 25% on the date of grant and 25% when the 20 trading day volume weighted average price of the Issuer's common stock equals or exceeds $20.75, $27.75 and $30.75. The unvested restricted stock units expire on June 30, 2016 if a vesting threshold has not been met by that date.
[F9]Upon the immediate vesting on April 5, 2013 of 10,000 restricted stock units granted to the reporting person on April 5, 2013, the reporting person elected to defer the receipt of those 10,000 shares of common stock, resulting in the accrual to his phantom stock account of 10,000 shares of phantom stock.

Documents

1 file

4
form469521_20140714050027-.xmlPrimary

Issuer

ASSEMBLY BIOSCIENCES, INC.

CIK 0001426800

→

Entity typeoperating

IncorporatedDE

Related Parties

filerCIK 0001426800

Filing Metadata

Form type: 4
Filed: Jul 13, 8:00 PM ET
Accepted: Jul 14, 5:01 PM ET
Size: 19.3 KB

View on SEC.gov