Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| ASSEMBLY BIOSCIENCES, INC.ASMB · Entity 5216 | EVP & CSO, Virology Ops | March 27, 2020 | March 31, 2020 |
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 27, 2020 · Filed March 31, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 137,009 |
Ending reported balance
After 2020-03-31 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2020-03-27 · Grant · Acquired 17,000 · Balance 144,821 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, 2021; March 29, 2022; March 29, 2023; and March 29, 2024. Row 2 · 2020-03-31 · Sale · Disposed 7,812 · Balance 137,009 F2: The sale reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. F3: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $14.77 to $15.55, 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 $14.45 · Expires 2030-03-27 | Direct | 34,000 |
Reported balance
After 2020-03-27 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2020-03-27 · Grant · Acquired 34,000 · Balance 34,000 F4: Grant of stock options. The stock options vest over four years, assuming continuous service on each vesting date, as follows: 25% vest on March 29, 2021; and the remaining 75% vest in 36 approximately equal monthly installments, with the options becoming fully vested on March 29, 2024. |
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, 2021; March 29, 2022; March 29, 2023; and March 29, 2024.
F2: The sale reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.
F3: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $14.77 to $15.55, 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 March 29, 2021; and the remaining 75% vest in 36 approximately equal monthly installments, with the options becoming fully vested on March 29, 2024.
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 31, 2020 Filed Mar 31, 2020 20:15 UTC | ASSEMBLY BIOSCIENCES, INC. ASMB · Entity 5216 | SaleCommon Stock | 7,812 | $15.04 | $117,523.73 |
DisclosureSEC source: 0001209191-20-021798 · doc4.xml · nonDerivative · entry 2 Colonno Richard James · CIK 0001663018 · EVP & CSO, Virology Ops 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 137,009 F2 · kind: The 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 $14.77 to $15.55, 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 27, 2020 Filed Mar 31, 2020 20:15 UTC | ASSEMBLY BIOSCIENCES, INC. ASMB · Entity 5216 | GrantStock Option (right to buy) · Derivative | 34,000 | $0.00 Strike: $14.45 | $0.00 |
DisclosureSEC 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. Read SEC document |
| March 27, 2020 Filed Mar 31, 2020 20:15 UTC | ASSEMBLY BIOSCIENCES, INC. ASMB · Entity 5216 | GrantCommon Stock | 17,000 | $0.00 | $0.00 |
DisclosureSEC 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. Read SEC document |
| December 12, 2019 Filed Dec 16, 2019 22:17 UTC | ASSEMBLY BIOSCIENCES, INC. ASMB · Entity 5216 | Exercise / conversionStock Option (right to buy) · Derivative | 33,061 | $0.00 Strike: $7.03 | $0.00 |
DisclosureSEC 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. Read SEC document |
| December 12, 2019 Filed Dec 16, 2019 22:17 UTC | ASSEMBLY BIOSCIENCES, INC. ASMB · Entity 5216 | SaleCommon Stock | 33,061 | $25.00 | $826,577.90 |
DisclosureSEC 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. Read SEC document |
| December 12, 2019 Filed Dec 16, 2019 22:17 UTC | ASSEMBLY BIOSCIENCES, INC. ASMB · Entity 5216 | Exercise / conversionCommon Stock | 33,061 | $7.03 | $232,418.83 |
DisclosureSEC 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. Read SEC document |
| March 29, 2019 Filed Apr 2, 2019 20:34 UTC | ASSEMBLY BIOSCIENCES, INC. ASMB · Entity 5216 | GrantStock Option (right to buy) · Derivative | 32,500 | $0.00 Strike: $19.69 | $0.00 |
DisclosureSEC 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. Read SEC document |
| March 29, 2019 Filed Apr 2, 2019 20:34 UTC | ASSEMBLY BIOSCIENCES, INC. ASMB · Entity 5216 | GrantCommon Stock | 16,250 | $0.00 | $0.00 |
DisclosureSEC 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. Read SEC document |
| December 12, 2018 Filed Dec 14, 2018 21:30 UTC | ASSEMBLY BIOSCIENCES, INC. ASMB · Entity 5216 | GrantCommon Stock | 20,000 | $0.00 | $0.00 |
DisclosureSEC 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. Read SEC document |
| November 23, 2018 Filed Nov 26, 2018 21:05 UTC | ASSEMBLY BIOSCIENCES, INC. ASMB · Entity 5216 | GrantCommon Stock | 25,000 | $0.00 | $0.00 |
DisclosureSEC 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. Read SEC document |
| July 20, 2018 Filed Jul 20, 2018 20:02 UTC | ASSEMBLY BIOSCIENCES, INC. ASMB · Entity 5216 | GrantCommon Stock | 25,000 | $0.00 | $0.00 |
DisclosureSEC 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. Read SEC document |
| March 29, 2018 Filed Mar 30, 2018 22:27 UTC | ASSEMBLY BIOSCIENCES, INC. ASMB · Entity 5216 | GrantStock Option (right to buy) · Derivative | 30,000 | $0.00 Strike: $49.14 | $0.00 |
DisclosureSEC source: 0001144204-18-018346 · tv490031_4.xml · derivative · entry 2 Colonno Richard James · CIK 0001663018 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,000 Underlying: Common Stock · 30,000 shares Expires 2028-03-29 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, 2019; and the remaining 75% shall vest in 36 equal monthly installments, with the options becoming fully vested on March 29, 2022. Read SEC document |
| March 29, 2018 Filed Mar 30, 2018 22:27 UTC | ASSEMBLY BIOSCIENCES, INC. ASMB · Entity 5216 | GrantCommon Stock | 15,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001144204-18-018346 · tv490031_4.xml · nonDerivative · entry 1 Colonno Richard James · CIK 0001663018 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,000 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, 2019; March 29, 2020; March 29, 2021; and March 29, 2022. Read SEC document |
| January 01, 2018 Filed Jan 3, 2018 21:30 UTC | ASSEMBLY BIOSCIENCES, INC. ASMB · Entity 5216 | GrantCommon Stock | 25,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001144204-18-000530 · tv482452_4.xml · nonDerivative · entry 1 Colonno Richard James · CIK 0001663018 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,000 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 January 1, 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. Read SEC document |
| March 29, 2017 Filed Mar 31, 2017 20:13 UTC | ASSEMBLY BIOSCIENCES, INC. ASMB · Entity 5216 | GrantStock Option (right to buy) · Derivative | 30,000 | $0.00 Strike: $25.34 | $0.00 |
DisclosureSEC source: 0001144204-17-018198 · v463067_4.xml · derivative · entry 1 Colonno Richard James · CIK 0001663018 · Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,000 Underlying: Common Stock · 30,000 shares Expires 2027-03-29 F1 · derivative.exercise_date: The options vest over two years as follows: 50% shall vest on the first anniversary of the date of grant, March 29, 2018; and the remaining 50% shall vest in 12 equal monthly installments, with the options becoming fully vested on March 29, 2019. 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.