ASMB

SEC source: 0001209191-20-021800 · doc4.xml · nonDerivative · entry 1

Papkoff Jacqueline Sybil · CIK 0001735729 · SVP-CSO Microbiome

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,915

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, 2021; March 29, 2022; March 29, 2023; and March 29, 2024.

SEC source: 0001209191-20-021798 · doc4.xml · derivative · entry 3

Colonno Richard James · CIK 0001663018 · EVP & CSO, Virology Ops

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,000

Underlying: Common Stock · 34,000 shares

Expires 2030-03-27

F4 · 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 March 29, 2021; and the remaining 75% vest in 36 approximately equal monthly installments, with the options becoming fully vested on March 29, 2024.

SEC source: 0001209191-20-021798 · doc4.xml · nonDerivative · entry 1

Colonno Richard James · CIK 0001663018 · EVP & CSO, Virology Ops

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 144,821

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, 2021; March 29, 2022; March 29, 2023; and March 29, 2024.

SEC source: 0001209191-20-021797 · doc4.xml · nonDerivative · entry 1

Russo Thomas Joseph · CIK 0001791973 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,383

F1 · shares: Grant of restricted stock units. The restricted stock units vest in four approximately equal installments, assuming continuous service on each vesting date, as follows: March 29, 2021; March 29, 2022; March 29, 2023, and March 29, 2024.

SEC source: 0001209191-20-021796 · doc4.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2030-03-27

F2 · 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 March 29, 2021; and the remaining 75% vest in 36 approximately equal monthly installments, with the options becoming fully vested on March 29, 2024.

SEC source: 0001209191-20-021796 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,000

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, 2021; March 29, 2022; March 29, 2023; and March 29, 2024.

SEC source: 0001209191-20-021709 · doc4.xml · derivative · entry 2

Okazaki Jason A · CIK 0001807214 · Chief Legal & Business Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 250,000

Underlying: Common Stock · 250,000 shares

Expires 2030-03-26

F2 · 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 26, 2021; and the remaining 75% vest in 36 approximately equal monthly installments, with the options becoming fully vested on March 26, 2024.

SEC source: 0001209191-20-021709 · doc4.xml · nonDerivative · entry 1

Okazaki Jason A · CIK 0001807214 · Chief Legal & Business Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,500

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 26, 2021; March 26, 2022; March 26, 2023; and March 26, 2024.

SEC source: 0001209191-20-036642 · doc4.xml · nonDerivative · entry 1

RINGO WILLIAM R · CIK 0001238325 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,465

SEC source: 0001209191-20-001149 · doc4.xml · nonDerivative · entry 1

Small Derek A · CIK 0001613260 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 828,791

F1 · shares: Grant of restricted stock units pursuant to the terms of a consulting agreement effective as of January 1, 2020 between the reporting person and the issuer. Assuming continuous service through each vesting date, the restricted stock units vest in 12 approximately equal installments on the last day of each month for 12 months.

F2 · balance_after: Includes 2,000 shares acquired under the Assembly Biosciences, Inc. 2018 Employee Stock Purchase Plan in 2019 through transactions that were exempt under Rule 16b-3(c).

SEC source: 0001209191-19-060715 · doc4.xml · nonDerivative · entry 1

Papkoff Jacqueline Sybil · CIK 0001735729 · SVP-CSO Microbiome

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,915

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 $21.00 to $21.02, 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: 0001209191-19-060710 · doc4.xml · derivative · entry 3

Colonno Richard James · CIK 0001663018 · EVP & CSO, Virology Ops

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 166,939

Underlying: Common Stock · 33,061 shares

Expires 2026-01-11

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · derivative.exercise_date: This option represents a right to purchase 200,000 shares. As of January 5, 2019, 150,000 stock options have vested. The remaining options vest on January 5, 2020.

SEC source: 0001209191-19-060710 · doc4.xml · nonDerivative · entry 2

Colonno Richard James · CIK 0001663018 · EVP & CSO, Virology Ops

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 127,821

F1 · shares: The option exercise and sale reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted 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 $25.00 to $25.035, 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: 0001209191-19-060710 · doc4.xml · nonDerivative · entry 1

Colonno Richard James · CIK 0001663018 · EVP & CSO, Virology Ops

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 160,882

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · shares: The option exercise and sale reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.

F2 · balance_after: Includes 532, 1,000 and 39 shares acquired under the Assembly Biosciences, Inc. 2018 Employee Stock Purchase Plan on November 14, 2018, May 14, 2019 and November 14, 2019, respectively.

SEC source: 0001209191-19-055724 · doc4.xml · derivative · entry 2

Stamm Luisa M · CIK 0001793158 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 165,000

Underlying: Common Stock · 165,000 shares

Expires 2029-11-06

F2 · derivative.exercise_date: Grant of stock options. The stock options vest over four years, assuming continuous service on each vesting date, as follows: 25% shall vest on the first anniversary of the date of grant, November 6, 2020; and the remaining 75% shall vest in 36 approximately equal monthly installments, with the options becoming fully vested on November 6, 2023.

SEC source: 0001209191-19-055724 · doc4.xml · nonDerivative · entry 1

Stamm Luisa M · CIK 0001793158 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,000

F1 · shares: Grant of restricted stock units. The restricted stock units vest, assuming continuous service, in one installment on the first anniversary of the grant date.

SEC source: 0001209191-19-054274 · doc4.xml · derivative · entry 1

Russo Thomas Joseph · CIK 0001791973 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 185,000

Underlying: Common Stock · 185,000 shares

Expires 2019-10-28

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% shall vest on the first anniversary of the date of grant, October 28, 2020; and the remaining 75% shall vest in 36 approximately equal monthly installments, with the options becoming fully vested on October 28, 2023.

SEC source: 0001209191-19-051378 · doc4.xml · derivative · entry 2

Samar Michael P. · CIK 0001775910 · SVP, Finance and Bus. Ops, PAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

Underlying: Common Stock · 5,000 shares

Expires 2029-10-01

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% shall vest on the first anniversary of the date of grant, October 1, 2020; and the remaining 75% shall vest in 36 approximately equal monthly installments, with the options becoming fully vested on October 1, 2023.

SEC source: 0001209191-19-051378 · doc4.xml · nonDerivative · entry 1

Samar Michael P. · CIK 0001775910 · SVP, Finance and Bus. Ops, PAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,327

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: October 1, 2020; October 1, 2021; October 1, 2022; and October 1, 2023.

F2 · balance_after: Includes 827 shares acquired under the Assembly Biosciences, Inc. 2018 Employee Stock Purchase Plan on May 14, 2019.

SEC source: 0001209191-19-051359 · doc4.xml · derivative · entry 1

Papkoff Jacqueline Sybil · CIK 0001735729 · SVP-CSO Microbiome

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,500

Underlying: Common Stock · 27,500 shares

Expires 2029-10-01

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% shall vest on the first anniversary of the date of grant, October 1, 2020; and the remaining 75% shall vest in 36 approximately equal monthly installments, with the options becoming fully vested on October 1, 2023.

SEC source: 0001209191-19-051355 · doc4.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2022-09-28

F1 · derivative.exercise_price: Each performance-based Restricted Stock Unit ("RSU") represents a contingent right to receive one share of Assembly Biosciences, Inc. common stock. The shares of common stock are earned if market-based performance metrics are met (the "Milestone") on or before the third anniversary of the grant date. If the Milestone is achieved on or before the second anniversary of the grant date, then the RSUs shall become fully vested on the second anniversary of the grant date. If the Milestone is achieved after the second anniversary of the grant date and on or before the third anniversary of the grant date, then the RSUs shall become fully vested on the third anniversary of the grant date. Any RSU that has not been earned and vested as of the third anniversary of the grant will be forfeited.

F1 · derivative.exercise_date: Each performance-based Restricted Stock Unit ("RSU") represents a contingent right to receive one share of Assembly Biosciences, Inc. common stock. The shares of common stock are earned if market-based performance metrics are met (the "Milestone") on or before the third anniversary of the grant date. If the Milestone is achieved on or before the second anniversary of the grant date, then the RSUs shall become fully vested on the second anniversary of the grant date. If the Milestone is achieved after the second anniversary of the grant date and on or before the third anniversary of the grant date, then the RSUs shall become fully vested on the third anniversary of the grant date. Any RSU that has not been earned and vested as of the third anniversary of the grant will be forfeited.

SEC source: 0001144204-19-038644 · tv527181_4.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 500,000

Underlying: Common Stock · 500,000 shares

Expires 2029-08-06

F2 · derivative.exercise_date: Grant of stock options. The stock options vest over three years, assuming continuous service on each vesting date, as follows: one-third will vest on the first anniversary of the date of grant, August 6, 2020; and the remaining two-thirds will vest in 24 approximately equal monthly installments, with the options becoming fully vested on August 6, 2022.

SEC source: 0001144204-19-038644 · tv527181_4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

F1 · shares: Grant of restricted stock units. The restricted stock units vest in three approximately equal installments, assuming continuous service on each vesting date, as follows: August 6, 2020; August 6, 2021; and August 6, 2022.

SEC source: 0001144204-19-027156 · tv521917_4.xml · derivative · entry 1

AUERBACH MARK · CIK 0001018007 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2029-05-17

F1 · derivative.exercise_date: The shares of common stock underlying the option will vest upon the earlier of (i) May 17, 2020 and (ii) the date of the Issuer's 2020 annual meeting of stockholders.

SEC source: 0001144204-19-027161 · tv521927_4.xml · derivative · entry 1

Mahony Susan · CIK 0001463321 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2029-05-17

F1 · derivative.exercise_date: The shares of common stock underlying the option will vest upon the earlier of (i) May 17, 2020 and (ii) the date of the Issuer's 2020 annual meeting of stockholders.

SEC source: 0001144204-19-027162 · tv521928_4.xml · derivative · entry 1

RINGO WILLIAM R · CIK 0001238325 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2029-05-17

F1 · derivative.exercise_date: The shares of common stock underlying the option will vest upon the earlier of (i) May 17, 2020 and (ii) the date of the Issuer's 2020 annual meeting of stockholders.

SEC source: 0001144204-19-027160 · tv521926_4.xml · derivative · entry 1

LEWIS ALAN · CIK 0001207604 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2029-05-17

F1 · derivative.exercise_date: The shares of common stock underlying the option will vest upon the earlier of (i) May 17, 2020 and (ii) the date of the Issuer's 2020 annual meeting of stockholders.

SEC source: 0001144204-19-027159 · tv521925_4.xml · derivative · entry 1

Kim Helen Susan · CIK 0001422772 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2029-05-17

F1 · derivative.exercise_date: The shares of common stock underlying the option will vest upon the earlier of (i) May 17, 2020 and (ii) the date of the Issuer's 2020 annual meeting of stockholders.

SEC source: 0001144204-19-027158 · tv521924_4.xml · derivative · entry 1

HOLUBIAK MYRON Z · CIK 0001199080 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2029-05-17

F1 · derivative.exercise_date: The shares of common stock underlying the option will vest upon the earlier of (i) May 17, 2020 and (ii) the date of the Issuer's 2020 annual meeting of stockholders.

SEC source: 0001144204-19-027157 · tv521920_4.xml · derivative · entry 1

DiMarchi Richard D · CIK 0001311733 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2029-05-17

F1 · derivative.exercise_date: The shares of common stock underlying the option will vest upon the earlier of (i) May 17, 2020 and (ii) the date of the Issuer's 2020 annual meeting of stockholders.

SEC source: 0001144204-19-027155 · tv521915_4.xml · derivative · entry 1

ALTIG ANTHONY E · CIK 0001215907 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2029-05-17

F1 · derivative.exercise_date: The shares of common stock underlying the option will vest upon the earlier of (i) May 17, 2020 and (ii) the date of the Issuer's 2020 annual meeting of stockholders.

SEC source: 0001144204-19-017753 · tv517880_4.xml · derivative · entry 2

Papkoff Jacqueline Sybil · CIK 0001735729 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,500

Underlying: Common Stock · 27,500 shares

Expires 2029-03-29

F2 · derivative.exercise_date: Grant of stock options. The stock options vest over four years, assuming continuous service on each vesting date, as follows: 25% shall vest on the first anniversary of the date of grant, March 29, 2020; and the remaining 75% shall vest in 36 approximately equal monthly installments, with the options becoming fully vested on March 29, 2023.

SEC source: 0001144204-19-017753 · tv517880_4.xml · nonDerivative · entry 1

Papkoff Jacqueline Sybil · CIK 0001735729 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,375

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, 2020; March 29, 2021; March 29, 2022; and March 29, 2023.

SEC source: 0001144204-19-017748 · tv517877_4.xml · derivative · entry 3

Lopatin Uri A · CIK 0001613259 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,500

Underlying: Common Stock · 27,500 shares

Expires 2029-03-29

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% shall vest on the first anniversary of the date of grant, March 29, 2020; and the remaining 75% shall vest in 36 approximately equal monthly installments, with the options becoming fully vested on March 29, 2023.

SEC source: 0001144204-19-017748 · tv517877_4.xml · nonDerivative · entry 1

Lopatin Uri A · CIK 0001613259 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 627,361

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, 2020; March 29, 2021; March 29, 2022; and March 29, 2023.

F2 · balance_after: Total includes 606,111 shares that are held by the Uri Lopatin Revocable Trust for which the reporting person is the trustee and sole beneficiary. Accordingly, these shares are reported as being held directly by the reporting person.

SEC source: 0001144204-19-017740 · tv517876_4.xml · derivative · entry 2

Colonno Richard James · CIK 0001663018 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,500

Underlying: Common Stock · 32,500 shares

Expires 2029-03-29

F2 · derivative.exercise_date: Grant of stock options. The stock options vest over four years, assuming continuous service on each vesting date, as follows: 25% shall vest on the first anniversary of the date of grant, March 29, 2020; and the remaining 75% shall vest in 36 approximately equal monthly installments, with the options becoming fully vested on March 29, 2023.

SEC source: 0001144204-19-017740 · tv517876_4.xml · nonDerivative · entry 1

Colonno Richard James · CIK 0001663018 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 126,250

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, 2020; March 29, 2021; March 29, 2022; and March 29, 2023.

SEC source: 0001144204-19-017736 · tv517879_4.xml · derivative · entry 2

COOPER GRAHAM K · CIK 0001396943 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,000

Underlying: Common Stock · 35,000 shares

Expires 2029-03-29

F2 · derivative.exercise_date: Grant of stock options. The stock options vest over four years, assuming continuous service on each vesting date, as follows: 25% shall vest on the first anniversary of the date of grant, March 29, 2020; and the remaining 75% shall vest in 36 approximately equal monthly installments, with the options becoming fully vested on March 29, 2023.

SEC source: 0001144204-19-017736 · tv517879_4.xml · nonDerivative · entry 1

COOPER GRAHAM K · CIK 0001396943 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 117,500

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, 2020; March 29, 2021; March 29, 2022; and March 29, 2023.

SEC source: 0001144204-19-017733 · tv517878_4.xml · derivative · entry 2

Small Derek A · CIK 0001613260 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,000

Underlying: Common Stock · 65,000 shares

Expires 2029-03-29

F2 · derivative.exercise_date: Grant of stock options. The stock options vest over four years, assuming continuous service on each vesting date, as follows: 25% shall vest on the first anniversary of the date of grant, March 29, 2020; and the remaining 75% shall vest in 36 approximately equal monthly installments, with the options becoming fully vested on March 29, 2023.

SEC source: 0001144204-19-017733 · tv517878_4.xml · nonDerivative · entry 1

Small Derek A · CIK 0001613260 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 701,791

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, 2020; March 29, 2021; March 29, 2022; and March 29, 2023.

SEC source: 0001144204-18-064671 · tv509185_form4.xml · derivative · entry 2

Papkoff Jacqueline Sybil · CIK 0001735729 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,250

Underlying: Common Stock · 21,250 shares

Expires 2028-12-12

F2 · derivative.exercise_date: Grant of stock options under the 2018 Plan. The stock options vest in approximately equal annual installments, assuming continuous service on each vesting date, on the first, second and third anniversaries of the date of grant.

SEC source: 0001144204-18-064671 · tv509185_form4.xml · nonDerivative · entry 1

Papkoff Jacqueline Sybil · CIK 0001735729 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,625

F1 · shares: Represents shares of common stock issuable under a time-based restricted stock unit (RSU) award dated December 12, 2018 that was granted under Assembly Biosciences, Inc.'s 2018 Stock Incentive Plan (2018 Plan). The RSUs vest in approximately equal annual installments, assuming continuous service on each vesting date, on the first, second and third anniversaries of the date of grant.

SEC source: 0001144204-18-064669 · tv509184_form4.xml · nonDerivative · entry 1

Colonno Richard James · CIK 0001663018 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 110,000

F1 · shares: Represents shares of common stock issuable under a performance-based restricted stock unit (RSU) award granted on December 12, 2018 under Assembly Biosciences, Inc.'s 2018 Stock Incentive Plan pursuant to the terms of a performance-based RSU award granted to the reporting person on December 8, 2017.

SEC source: 0001144204-18-064668 · tv509183_form4.xml · nonDerivative · entry 1

COOPER GRAHAM K · CIK 0001396943 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

F1 · shares: Represents shares of common stock issuable under a time-based restricted stock unit ("RSU") award dated December 12, 2018 that was granted under Assembly Biosciences, Inc.'s 2018 Stock Incentive Plan. Assuming continuous service through each vesting date, 50,000 RSUs vest in the following installments: 20,000 RSUs vest on December 12, 2019 and 10,000 RSUs vest on each of June 12, 2020, December 12, 2020 and June 12, 2021. The remaining 50,000 RSUs vest on June 12, 2021, subject to accelerated vesting upon achievement of certain performance milestones, but in no event will such RSUs vest as a result of such performance milestones prior to December 12, 2019.

SEC source: 0001144204-18-061513 · tv507873_4.xml · nonDerivative · entry 1

Colonno Richard James · CIK 0001663018 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,000

F1 · shares: Represents shares of common stock issuable under a performance-based Restricted Stock Unit (RSU) Award dated December 8, 2017 that was granted under Assembly Biosciences, Inc.'s Amended and Restated 2014 Stock Incentive Plan. On November 23, 2018, a performance-based vesting condition was achieved with respect to these shares of common stock.

SEC source: 0001144204-18-048565 · tv502511_4.xml · nonDerivative · entry 2

Lopatin Uri A · CIK 0001613259 · Chief Med. Off., VP Res. Dev.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 613,611

F1 · shares: The sale reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted 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 $40.00 to $40.02, 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 the price range.

F5 · balance_after: Total includes 606,111 shares that are held by the Uri Lopatin Revocable Trust for which the reporting person is the trustee and sole beneficiary. Accordingly, these shares are reported as being held directly by the reporting person.

SEC source: 0001144204-18-048565 · tv502511_4.xml · nonDerivative · entry 1

Lopatin Uri A · CIK 0001613259 · Chief Med. Off., VP Res. Dev.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 613,947

F1 · shares: The sale reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted 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 $40.00 to $40.41, 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 the price range.

F3 · balance_after: Total includes 606,447 shares that are held by the Uri Lopatin Revocable Trust for which the reporting person is the trustee and sole beneficiary. Accordingly, these shares are reported as being held directly by the reporting person.

SEC source: 0001144204-18-039137 · tv498898_4.xml · nonDerivative · entry 1

Colonno Richard James · CIK 0001663018 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,000

F1 · shares: Represents shares of common stock issuable under a performance-based Restricted Stock Unit (RSU) Award dated December 8, 2017 that was granted under Assembly Biosciences, Inc.'s Amended and Restated 2014 Stock Incentive Plan. On July 20, 2018, 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 full on August 1, 2018, assuming the Reporting Person's continuous service through August 1, 2018.

SEC source: 0001144204-18-039136 · tv498888_4.xml · nonDerivative · entry 2

Small Derek A · CIK 0001613260 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 669,291

F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $41.44 to $42.35, 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 purchased at each separate price within the price range.