Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| ASSEMBLY BIOSCIENCES, INC.ASMB · Entity 5216 | Chief Medical Officer | March 29, 2022 | March 31, 2022 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
ASSEMBLY BIOSCIENCES, INC.
Report date March 29, 2022 · Filed March 31, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 40,315 |
Ending reported balance
After 2022-03-30 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2022-03-29 · Grant · Acquired 22,500 · Balance 41,353 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. Row 2 · 2022-03-30 · Sale · Disposed 1,038 · Balance 40,315 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. 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. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.30 · Expires 2032-03-29 | Direct | 90,000 |
Reported balance
After 2022-03-29 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2022-03-29 · Grant · Acquired 90,000 · Balance 90,000 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. |
| Performance-based Restricted Stock UnitsSEC Table II · derivative / convertible security · Expires 2027-03-29 | Direct | 22,500 |
Reported balance
After 2022-03-29 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2022-03-29 · Grant · Acquired 22,500 · Balance 22,500 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. |
Filing footnotes · ownership attribution and instrument terms
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.
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.
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.
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.
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.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| March 30, 2022 Filed Mar 31, 2022 20:48 UTC | ASSEMBLY BIOSCIENCES, INC. ASMB · Entity 5216 | SaleCommon Stock | 1,038 | $2.17 | $2,249.76 |
DisclosureSEC 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. Read SEC document |
| March 29, 2022 Filed Mar 31, 2022 20:48 UTC | ASSEMBLY BIOSCIENCES, INC. ASMB · Entity 5216 | GrantPerformance-based Restricted Stock Units · Derivative | 22,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-22-021777 · doc4.xml · derivative · entry 4 Stamm Luisa M · CIK 0001793158 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,500 Underlying: Common Stock · 22,500 shares Expires 2027-03-29 F5 · 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. F5 · 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. Read SEC document |
| March 29, 2022 Filed Mar 31, 2022 20:48 UTC | ASSEMBLY BIOSCIENCES, INC. ASMB · Entity 5216 | GrantStock Option (right to buy) · Derivative | 90,000 | $0.00 Strike: $2.30 | $0.00 |
DisclosureSEC source: 0001209191-22-021777 · doc4.xml · derivative · entry 3 Stamm Luisa M · CIK 0001793158 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 90,000 Underlying: Common Stock · 90,000 shares Expires 2032-03-29 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 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. Read SEC document |
| March 29, 2022 Filed Mar 31, 2022 20:48 UTC | ASSEMBLY BIOSCIENCES, INC. ASMB · Entity 5216 | GrantCommon Stock | 22,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-22-021777 · doc4.xml · nonDerivative · entry 1 Stamm Luisa M · CIK 0001793158 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,353 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. Read SEC document |
| March 29, 2021 Filed Apr 2, 2021 20:44 UTC | ASSEMBLY BIOSCIENCES, INC. ASMB · Entity 5216 | GrantStock Option (right to buy) · Derivative | 67,500 | $0.00 Strike: $4.33 | $0.00 |
DisclosureSEC source: 0001209191-21-024640 · doc4.xml · derivative · entry 2 Stamm Luisa M · CIK 0001793158 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 67,500 Underlying: Common Stock · 67,500 shares Expires 2031-03-29 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% vest on the first anniversary of the date of grant, March 29, 2022; and the remaining 75% vest in 36 approximately equal monthly installments, with the options becoming fully vested on March 29, 2025. Read SEC document |
| March 29, 2021 Filed Apr 2, 2021 20:44 UTC | ASSEMBLY BIOSCIENCES, INC. ASMB · Entity 5216 | GrantCommon Stock | 11,250 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-024640 · doc4.xml · nonDerivative · entry 1 Stamm Luisa M · CIK 0001793158 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,853 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, 2022; March 29, 2023; March 29, 2024; and March 29, 2025. Read SEC document |
| November 09, 2020 Filed Nov 11, 2020 00:28 UTC | ASSEMBLY BIOSCIENCES, INC. ASMB · Entity 5216 | SaleCommon Stock | 4,397 | $5.10 | $22,403.59 |
DisclosureSEC source: 0001209191-20-057783 · doc4.xml · nonDerivative · entry 1 Stamm Luisa M · CIK 0001793158 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,603 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 $5.09 to $5.13, 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. Read SEC document |
| November 06, 2019 Filed Nov 7, 2019 22:47 UTC | ASSEMBLY BIOSCIENCES, INC. ASMB · Entity 5216 | GrantStock Option (right to buy) · Derivative | 165,000 | $0.00 Strike: $16.11 | $0.00 |
DisclosureSEC 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. Read SEC document |
| November 06, 2019 Filed Nov 7, 2019 22:47 UTC | ASSEMBLY BIOSCIENCES, INC. ASMB · Entity 5216 | GrantCommon Stock | 12,000 | $0.00 | $0.00 |
DisclosureSEC 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. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.