ASMB

SEC source: 0001209191-23-039532 · doc4.xml · nonDerivative · entry 1

Delaney William E IV · CIK 0001812734 · Chief Scientific Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 152,205

F1 · shares: Represents shares of common stock issuable under a performance-based restricted stock unit award dated August 1, 2022. On June 22, 2023, a performance-based vesting condition was achieved with respect to these shares of common stock, which remain subject to time-based vesting and will vest in two equal installments, assuming continuous service on each vesting date, as follows: August 1, 2023 and August 1, 2024.

SEC source: 0001209191-23-039531 · doc4.xml · nonDerivative · entry 1

Okazaki Jason A · CIK 0001807214 · Director · CEO and President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 176,613

F1 · shares: Represents shares of common stock issuable under a performance-based restricted stock unit award dated August 1, 2022. On June 22, 2023, a performance-based vesting condition was achieved with respect to these shares of common stock, which remain subject to time-based vesting and will vest in two equal installments, assuming continuous service on each vesting date, as follows: August 1, 2023 and August 1, 2024.

SEC source: 0001209191-23-033100 · doc4.xml · nonDerivative · entry 1

Delaney William E IV · CIK 0001812734 · Chief Scientific Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 112,205

F1 · kind: The sale reported on this Form 4 represents shares sold by the reporting person to cover tax withholding obligations in connection with the vesting and settlement of restricted stock units. The sale is mandated by an administrative rule adopted by the Compensation Committee of the Issuer's Board of Directors that requires the satisfaction of tax withholding obligations to be funded by a "sell-to-cover" transaction and does not represent a discretionary transaction by the reporting person.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.9532 to $0.97, 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.

SEC source: 0001209191-23-032891 · doc4.xml · derivative · entry 1

Mahony Susan · CIK 0001463321 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2033-05-25

F1 · derivative.exercise_date: Grant of stock options. The stock options vest, assuming continuous service, upon the earlier of (1) May 25, 2024 and (2) the date of the Issuer's 2024 annual meeting of stockholders.

SEC source: 0001209191-23-032904 · doc4.xml · derivative · entry 1

RINGO WILLIAM R · CIK 0001238325 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2033-05-23

F1 · derivative.exercise_date: Grant of stock options. The stock options vest, assuming continuous service, upon the earlier of (1) May 25, 2024 and (2) the date of the Issuer's 2024 annual meeting of stockholders.

SEC source: 0001209191-23-032900 · doc4.xml · derivative · entry 1

McHutchison John G · CIK 0001738125 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2033-05-25

F1 · derivative.exercise_date: Grant of stock options. The stock options vest, assuming continuous service, upon the earlier of (1) May 25, 2024 and (2) the date of the Issuer's 2024 annual meeting of stockholders.

SEC source: 0001209191-23-032884 · doc4.xml · derivative · entry 1

Johnson-Pratt Lisa · CIK 0001849760 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2033-05-25

F1 · derivative.exercise_date: Grant of stock options. The stock options vest, assuming continuous service, upon the earlier of (1) May 25, 2024 and (2) the date of the Issuer's 2024 annual meeting of stockholders.

SEC source: 0001209191-23-032874 · doc4.xml · derivative · entry 1

Houghton Michael · CIK 0001873008 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2033-05-25

F1 · derivative.exercise_date: Grant of stock options. The stock options vest, assuming continuous service, upon the earlier of (1) May 25, 2024 and (2) the date of the Issuer's 2024 annual meeting of stockholders.

SEC source: 0001209191-23-032867 · doc4.xml · derivative · entry 1

Consylman Gina · CIK 0001546358 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2033-05-25

F1 · derivative.exercise_date: Grant of stock options. The stock options vest, assuming continuous service, upon the earlier of (1) May 25, 2024 and (2) the date of the Issuer's 2024 annual meeting of stockholders.

SEC source: 0001209191-23-032862 · doc4.xml · derivative · entry 1

ALTIG ANTHONY E · CIK 0001215907 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2033-05-25

F1 · derivative.exercise_date: Grant of stock options. The stock options vest, assuming continuous service, upon the earlier of (1) May 25, 2024 and (2) the date of the Issuer's 2024 annual meeting of stockholders.

SEC source: 0001209191-23-031912 · doc4.xml · nonDerivative · entry 2

Delaney William E IV · CIK 0001812734 · Chief Scientific Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 116,437

F3 · kind: The sale reported on this Form 4 represents shares sold by the reporting person to cover tax withholding obligations in connection with the vesting and settlement of restricted stock units. The sale is mandated by an administrative rule adopted by the Compensation Committee of the Issuer's Board of Directors that requires the satisfaction of tax withholding obligations to be funded by a "sell-to-cover" transaction and does not represent a discretionary transaction by the reporting person.

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.02 to $1.07, 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.

SEC source: 0001209191-23-031899 · doc4.xml · nonDerivative · entry 2

Okazaki Jason A · CIK 0001807214 · Director · CEO and President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 126,613

F2 · kind: The sale reported on this Form 4 represents shares sold by the reporting person to cover tax withholding obligations in connection with the vesting and settlement of restricted stock units. The sale is mandated by an administrative rule adopted by the Compensation Committee of the Issuer's Board of Directors that requires the satisfaction of tax withholding obligations to be funded by a "sell-to-cover" transaction and does not represent a discretionary transaction by the reporting person.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.02 to $1.07, 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.

SEC source: 0001209191-23-031919 · doc4.xml · nonDerivative · entry 2

McHutchison John G · CIK 0001738125 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 169,160

F2 · kind: The sale reported on this Form 4 represents shares sold by the reporting person to cover tax withholding obligations in connection with the vesting and settlement of restricted stock units. The sale is mandated by an administrative rule adopted by the Compensation Committee of the Issuer's Board of Directors that requires the satisfaction of tax withholding obligations to be funded by a "sell-to-cover" transaction and does not represent a discretionary transaction by the reporting person.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.02 to $1.07, 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.

SEC source: 0001209191-23-031918 · doc4.xml · nonDerivative · entry 2

Bjorkquist Jeanette M · CIK 0001945064 · Principal Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 27,532

F3 · kind: The sale reported on this Form 4 represents shares sold by the reporting person to cover tax withholding obligations in connection with the vesting and settlement of restricted stock units. The sale is mandated by an administrative rule adopted by the Compensation Committee of the Issuer's Board of Directors that requires the satisfaction of tax withholding obligations to be funded by a "sell-to-cover" transaction and does not represent a discretionary transaction by the reporting person.

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.02 to $1.07, 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.

SEC source: 0001209191-23-031912 · doc4.xml · nonDerivative · entry 1

Delaney William E IV · CIK 0001812734 · Chief Scientific Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 122,998

F1 · shares: Represents shares of common stock issuable under a performance-based restricted stock unit award dated July 22, 2021. On May 22, 2023, the performance-based vesting conditions were achieved. These shares of common stock vest in two equal installments, assuming continuous service on each vesting date, as follows: May 22, 2023 and May 22, 2024.

F2 · balance_after: Includes 2,500 shares acquired under the Assembly Biosciences, Inc. Amended and Restated 2018 Employee Stock Purchase Plan on May 12, 2023.

SEC source: 0001209191-23-031899 · doc4.xml · nonDerivative · entry 1

Okazaki Jason A · CIK 0001807214 · Director · CEO and President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 133,174

F1 · shares: Represents shares of common stock issuable under a performance-based restricted stock unit award dated July 22, 2021. On May 22, 2023, the performance-based vesting conditions were achieved. These shares of common stock vest in two equal installments, assuming continuous service on each vesting date, as follows: May 22, 2023 and May 22, 2024.

SEC source: 0001209191-23-031919 · doc4.xml · nonDerivative · entry 1

McHutchison John G · CIK 0001738125 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 295,132

F1 · shares: Represents shares of common stock issuable under a performance-based restricted stock unit award dated July 22, 2021. On May 22, 2023, the performance-based vesting conditions were achieved. These shares of common stock vest in two equal installments, assuming continuous service on each vesting date, as follows: May 22, 2023 and May 22, 2024.

SEC source: 0001209191-23-031918 · doc4.xml · nonDerivative · entry 1

Bjorkquist Jeanette M · CIK 0001945064 · Principal Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 27,806

F1 · shares: Represents shares of common stock issuable under a performance-based restricted stock unit award dated July 22, 2021. On May 22, 2023, the performance-based vesting conditions were achieved. These shares of common stock vest in two equal installments, assuming continuous service on each vesting date, as follows: May 22, 2023 and May 22, 2024.

F2 · balance_after: Includes 2,500 shares acquired under the Assembly Biosciences, Inc. Amended and Restated 2018 Employee Stock Purchase Plan on May 12, 2023.

SEC source: 0001209191-23-021874 · doc4.xml · nonDerivative · entry 1

Delaney William E IV · CIK 0001812734 · Chief Scientific Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 85,498

F1 · kind: The sale reported on this Form 4 represents shares sold by the reporting person to cover tax withholding obligations in connection with the vesting and settlement of Restricted Stock Units ("RSUs"). The sale is mandated by an administrative rule adopted by the Compensation Committee of the Issuer's Board of Directors that requires the satisfaction of tax withholding obligations to be funded by a "sell-to-cover" transaction and does not represent a discretionary transaction by the reporting person.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.7795 to $0.89, 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.

SEC source: 0001209191-23-021868 · doc4.xml · nonDerivative · entry 1

Okazaki Jason A · CIK 0001807214 · Director · CEO and President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 98,174

F1 · kind: The sale reported on this Form 4 represents shares sold by the reporting person to cover tax withholding obligations in connection with the vesting and settlement of Restricted Stock Units ("RSUs"). The sale is mandated by an administrative rule adopted by the Compensation Committee of the Issuer's Board of Directors that requires the satisfaction of tax withholding obligations to be funded by a "sell-to-cover" transaction and does not represent a discretionary transaction by the reporting person.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.7795 to $0.89, 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.

SEC source: 0001209191-23-021886 · doc4.xml · nonDerivative · entry 1

McHutchison John G · CIK 0001738125 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 177,632

F1 · kind: The sale reported on this Form 4 represents shares sold by the reporting person to cover tax withholding obligations in connection with the vesting and settlement of Restricted Stock Units ("RSUs"). The sale is mandated by an administrative rule adopted by the Compensation Committee of the Issuer's Board of Directors that requires the satisfaction of tax withholding obligations to be funded by a "sell-to-cover" transaction and does not represent a discretionary transaction by the reporting person.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.7795 to $0.89, 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.

SEC source: 0001209191-23-021882 · doc4.xml · nonDerivative · entry 2

Bjorkquist Jeanette M · CIK 0001945064 · Principal Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 23,806

F3 · kind: The sale reported on this Form 4 represents shares sold by the reporting person to cover tax withholding obligations in connection with the vesting and settlement of Restricted Stock Units ("RSUs"). The sale is mandated by an administrative rule adopted by the Compensation Committee of the Issuer's Board of Directors that requires the satisfaction of tax withholding obligations to be funded by a "sell-to-cover" transaction and does not represent a discretionary transaction by the reporting person.

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.7795 to $0.89, 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.

SEC source: 0001209191-23-021874 · doc4.xml · derivative · entry 2

Delaney William E IV · CIK 0001812734 · Chief Scientific Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 140,000

Underlying: Common Stock · 140,000 shares

Expires 2033-03-29

F3 · derivative.exercise_date: 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, 2024; and the remaining 75% vest in 36 approximately equal monthly installments, with the options becoming fully vested on March 29, 2027.

SEC source: 0001209191-23-021868 · doc4.xml · derivative · entry 2

Okazaki Jason A · CIK 0001807214 · Director · CEO and President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 470,000

Underlying: Common Stock · 470,000 shares

Expires 2033-03-29

F3 · derivative.exercise_date: 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, 2024; and the remaining 75% vest in 36 approximately equal monthly installments, with the options becoming fully vested on March 29, 2027.

SEC source: 0001209191-23-021882 · doc4.xml · derivative · entry 4

Bjorkquist Jeanette M · CIK 0001945064 · Principal Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 12,500

Underlying: Common Stock · 12,500 shares

Expires 2033-03-29

F1 · derivative.exercise_date: 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, 2024; March 29, 2025; March 29, 2026; and March 29, 2027.

SEC source: 0001209191-23-021882 · doc4.xml · nonDerivative · entry 1

Bjorkquist Jeanette M · CIK 0001945064 · Principal Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 24,580

F1 · shares: 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, 2024; March 29, 2025; March 29, 2026; and March 29, 2027.

F2 · balance_after: Includes 2,500 shares acquired under the Assembly Biosciences, Inc. Amended and Restated 2018 Employee Stock Purchase Plan on November 14, 2022.

SEC source: 0001209191-23-021385 · doc4.xml · nonDerivative · entry 1

Okazaki Jason A · CIK 0001807214 · Director · CEO and President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 102,421

F1 · kind: The sale reported on this Form 4 represents shares sold by the reporting person to cover tax withholding obligations in connection with the vesting and settlement of Restricted Stock Units ("RSUs"). The sale is mandated by an administrative rule adopted by the Compensation Committee of the Issuer's Board of Directors that requires the satisfaction of tax withholding obligations to be funded by a "sell-to-cover" transaction and does not represent a discretionary transaction by the reporting person.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.00 to $1.06, 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.

SEC source: 0001209191-23-010529 · doc4.xml · nonDerivative · entry 1

Delaney William E IV · CIK 0001812734 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 88,919

F1 · shares: Represents shares of common stock issuable under a performance-based restricted stock unit award dated August 1, 2022. On February 16, 2023, a performance-based vesting condition was achieved with respect to these shares of common stock, which remain subject to time-based vesting and will vest in two equal installments, assuming continuous service on each vesting date, as follows: August 1, 2023 and August 1, 2024.

F2 · balance_after: Includes 2,500 shares acquired under the Assembly Biosciences, Inc. Amended and Restated 2018 Employee Stock Purchase Plan on November 14, 2022.

SEC source: 0001209191-23-010495 · doc4.xml · nonDerivative · entry 1

Okazaki Jason A · CIK 0001807214 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 107,114

F1 · shares: Represents shares of common stock issuable under a performance-based restricted stock unit award dated August 1, 2022. On February 16, 2023, a performance-based vesting condition was achieved with respect to these shares of common stock, which remain subject to time-based vesting and will vest in two equal installments, assuming continuous service on each vesting date, as follows: August 1, 2023 and August 1, 2024.

SEC source: 0001209191-23-021882 · doc4.xml · derivative · entry 3

Bjorkquist Jeanette M · CIK 0001945064 · Principal Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,000

Underlying: Common Stock · 2,000 shares

Expires 2033-02-16

F5 · derivative.exercise_date: 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, February 16, 2024; and the remaining 75% vest in 36 approximately equal monthly installments, with the options becoming fully vested on February 16, 2027.

SEC source: 0001209191-22-045239 · doc4.xml · nonDerivative · entry 1

McHutchison John G · CIK 0001738125 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 192,515

F1 · kind: 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.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.08 to $2.21, 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.

SEC source: 0001209191-22-044274 · doc4.xml · derivative · entry 1

Delaney William E IV · CIK 0001812734 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 200,000

Underlying: Common Stock · 200,000 shares

Expires 2032-08-01

F1 · derivative.exercise_date: 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, 2022; and the remaining 75% vest in 36 approximately equal monthly installments, with the options becoming fully vested on August 1, 2026.

SEC source: 0001209191-22-044229 · doc4.xml · derivative · entry 1

Okazaki Jason A · CIK 0001807214 · President & COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 250,000

Underlying: Common Stock · 250,000 shares

Expires 2032-08-01

F1 · derivative.exercise_date: 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, 2022; and the remaining 75% vest in 36 approximately equal monthly installments, with the options becoming fully vested on August 1, 2026.

SEC source: 0001209191-22-043216 · doc4.xml · nonDerivative · entry 1

Samar Michael P. · CIK 0001775910 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 77,228

F1 · kind: 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.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.14 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.

F3 · balance_after: Includes 2,500 shares acquired under the Assembly Biosciences, Inc. Amended and Restated 2018 Employee Stock Purchase Plan on May 13, 2022.

SEC source: 0001209191-22-033582 · doc4.xml · nonDerivative · entry 1

Delaney William E IV · CIK 0001812734 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 76,419

F1 · kind: 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.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.88 to $1.95, 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.

F3 · balance_after: Includes 2,500 shares acquired under the Assembly Biosciences, Inc. Amended and Restated 2018 Employee Stock Purchase Plan on May 13, 2022.

SEC source: 0001209191-22-032606 · doc4.xml · derivative · entry 1

Mahony Susan · CIK 0001463321 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2032-05-25

F1 · derivative.exercise_date: Grant of stock options. The stock options vest, assuming continuous service, upon the earlier of (1) May 25, 2023 and (2) the date of the Issuer's 2023 annual meeting of stockholders.

SEC source: 0001209191-22-032569 · doc4.xml · derivative · entry 1

Houghton Michael · CIK 0001873008 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2032-05-25

F1 · derivative.exercise_date: Grant of stock options. The stock options vest, assuming continuous service, upon the earlier of (1) May 25, 2023 and (2) the date of the Issuer's 2023 annual meeting of stockholders.

SEC source: 0001209191-22-032572 · doc4.xml · derivative · entry 1

Johnson-Pratt Lisa · CIK 0001849760 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2032-05-25

F1 · derivative.exercise_date: Grant of stock options. The stock options vest, assuming continuous service, upon the earlier of (1) May 25, 2023 and (2) the date of the Issuer's 2023 annual meeting of stockholders.

SEC source: 0001209191-22-032562 · doc4.xml · derivative · entry 1

DiMarchi Richard D · CIK 0001311733 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2032-05-25

F1 · derivative.exercise_date: Grant of stock options. The stock options vest, assuming continuous service, upon the earlier of (1) May 25, 2023 and (2) the date of the Issuer's 2023 annual meeting of stockholders.

SEC source: 0001209191-22-032555 · doc4.xml · derivative · entry 1

Consylman Gina · CIK 0001546358 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2032-05-25

F1 · derivative.exercise_date: Grant of stock options. The stock options vest, assuming continuous service, upon the earlier of (1) May 25, 2023 and (2) the date of the Issuer's 2023 annual meeting of stockholders.

SEC source: 0001209191-22-032544 · doc4.xml · derivative · entry 1

ALTIG ANTHONY E · CIK 0001215907 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2032-05-25

F1 · derivative.exercise_date: Grant of stock options. The stock options vest, assuming continuous service, upon the earlier of (1) May 25, 2023 and (2) the date of the Issuer's 2023 annual meeting of stockholders.

SEC source: 0001209191-22-032539 · doc4.xml · derivative · entry 1

RINGO WILLIAM R · CIK 0001238325 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2032-05-25

F1 · derivative.exercise_date: Grant of stock options. The stock options vest, assuming continuous service, upon the earlier of (1) May 25, 2023 and (2) the date of the Issuer's 2023 annual meeting of stockholders.

SEC source: 0001209191-22-021774 · doc4.xml · nonDerivative · entry 2

Delaney William E IV · CIK 0001812734 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 78,083

F3 · kind: 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.

F4 · price: 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.

SEC source: 0001209191-22-021772 · doc4.xml · nonDerivative · entry 2

Okazaki Jason A · CIK 0001807214 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 94,614

F2 · kind: 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.

F3 · price: 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.

SEC source: 0001209191-22-021781 · doc4.xml · nonDerivative · entry 2

Samar Michael P. · CIK 0001775910 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 76,748

F3 · kind: 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.

F4 · price: 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.

SEC source: 0001209191-22-021777 · doc4.xml · nonDerivative · entry 2

Stamm Luisa M · CIK 0001793158 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,315

F2 · kind: 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.

F3 · price: 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.

SEC source: 0001209191-22-021770 · doc4.xml · nonDerivative · entry 2

McHutchison John G · CIK 0001738125 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 204,829

F2 · kind: 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.

F3 · price: 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.

SEC source: 0001209191-22-021774 · doc4.xml · derivative · entry 4

Delaney William E IV · CIK 0001812734 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2027-03-29

F6 · derivative.exercise_price: 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.

F6 · derivative.exercise_date: 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.

SEC source: 0001209191-22-021774 · doc4.xml · derivative · entry 3

Delaney William E IV · CIK 0001812734 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2032-03-29

F5 · derivative.exercise_date: 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.

SEC source: 0001209191-22-021774 · doc4.xml · nonDerivative · entry 1

Delaney William E IV · CIK 0001812734 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 79,121

F1 · shares: 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.

F2 · balance_after: Includes 1,000 shares acquired under the Assembly Biosciences, Inc. 2018 Employee Stock Purchase Plan on November 14, 2021.