Earnings Feed
Sign Up
Home/Filings/4/A/0001144204-14-059949
4/A//SEC Filing

ASSEMBLY BIOSCIENCES, INC. 4/A

Accession 0001144204-14-059949

$ASMBCIK 0001426800operating
View on SEC.govCompany Profile

Filed

Oct 6, 8:00 PM ET

Accepted

Oct 7, 5:03 PM ET

Size

16.2 KB

Accession

0001144204-14-059949

Insider Transaction Report

Form 4/AAmended
Period: 2014-07-10
ASSEMBLY BIOSCIENCES, INC.ASMB
ELLISON RUSSELL H
DirectorChief Executive Officer
Transactions
  • Award

    Stock Options (right to buy)

    2014-07-10+800,000→ 800,000 total
    Exercise: $7.20Exp: 2024-07-10→ Common Stock (800,000 underlying)
Holdings

  • Common Stock

    11,600

  • Stock Options (right to buy)

    Exercise: $19.05Exp: 2024-01-15→ Common Stock (79,100 underlying)
    0

  • Restricted Stock Units

    Exp: 2016-06-30→ Common Stock (40,000 underlying)
    0

  • Stock Options (right to buy)

    Exercise: $40.50Exp: 2022-01-15→ Common Stock (12,000 underlying)
    0

  • Phantom Stock

    → Common Stock (10,000 underlying)
    10,000

  • Stock Options (right to buy)

    Exercise: $30.00Exp: 2020-12-22→ Common Stock (114,719 underlying)
    0

  • Warrants (right to buy)

    Exercise: $38.45From: 2007-11-08Exp: 2014-11-08→ Common Stock (1,613 underlying)
    1,613
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 first and second anniversaries after 1/15/2015.
  • [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

Issuer

ASSEMBLY BIOSCIENCES, INC.

CIK 0001426800

→
Entity typeoperating
IncorporatedDE

Related Parties

1
  • filerCIK 0001426800

Filing Metadata

Form type
4/A
Filed
Oct 6, 8:00 PM ET
Accepted
Oct 7, 5:03 PM ET
Size
16.2 KB
View on SEC.gov