UNITED STATES SECURITIES AND EXCHANGE COMMISSION ----------------------
FORM 4 Washington, D.C. 20549 | OMB APPROVAL |
|---------------------|
| OMB Number: |
{} Check this box if STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES | 3235-0287 |
no longer subject to | Expires: |
Section 16. Form 4 or | November 30, 2011 |
Form 5 obligations may | Estimated average |
continue. See Instruction | burden hours per |
1(b). | response 0.5 |
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section -----------------------
17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the
(Print or Type Responses) Investment Company Act of 1940
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|1. Name and Address of | 2. Issuer Name and Ticker or Trading Symbol | 5. Relationship of Reporting Person(s) |
| Reporting Person* | | to Issuer (Check all applicable) |
|Okazaki Jason A |ASSEMBLY BIOSCIENCES, INC. ASMB | _____ Director _____ 10% Owner |
| | | _____ Officer _____ Other |
|--------------------------|---------------------------------------------------|
|(Last) (First) (Middle)|3. Date of Earliest Transaction (Month/Day/Year) | (give title below) (specify below)|
| | 04-29-2024 |CEO and President |
|C/O ASSEMBLY BIOSCIENCES, |---------------------------------------------------| |
|INC.,TWO TOWER PLACE, 7TH | | |
| (Street) |4.If Amendment, Date Original Filed(Month/Day/Year)|-------------------------------------------------|
| | | 6. Individual or Joint/Group Filing |
|SOUTH SAN - CA - 94080 | | (Check Applicable Line) |
|FRANCISCO | | _X_ Form filed by One Reporting Person |
| | | ___ Form filed by More than One |
| (City) (State) (Zip) | | Reporting Person |
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Table I -- Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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| 1. | 2. | 2a. | 3. | 4. | 5. | 6. | 7. |
| Title of | Trans- | Deemed | Transaction | Securities Acquired | Amount of Sec | Ownership | Nature of |
| Security | action | Execut. | Code | (A) or Disposed of (D) | Beneficially | Form: | Indirect |
| (Instr. 3) | Date | Date | (Instr. 8) | (Instr. 3, 4 and 5) |Owned Following| Direct | Beneficial |
| |----------|----------|---------|----|----------|-----|--------| Transaction(s)| (D) or | Ownership |
| | (Month/ | (Month/ | | | | (A) | | | Indirect | (Instr. 4) |
| | Day/ | Day/ | | | | or | | (Instr. 3 and | (I) | |
| | Year) | Year) | Code | V | Amount | (D) | Price | 4) | Instr. 4) | |
---------------------------------------------------------------------------------|-----------------------------------------------
|Common Stock |04-29-2024| |A | |4,166 |A |$0 |17,992 |D | |
| | | | | |#1 | | | | | |
|--------------------------------------------------------------------------------|-----------------------------------------------|
|Common Stock |04-30-2024| |S | |1,569 |D |$12.7068|16,423 |D | |
| | | |#2 | | | |#3 | | | |
|--------------------------------------------------------------------------------|-----------------------------------------------|
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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|1. |2. | 3. | 3a. |4. | 5. | 6. | 7. |8. |9. |10. |11. |
|Title of|Conver- | Trans- | Deemed |Trans- | Number of | Date | Title and |Price |Number |Owner- |Nature of|
|Deriv- |sion or | action | Execu. |action | Deriv- | Exercisable | Amount of |of |of |ship |Indirect |
|ative |Exercise| Date | Date |Code | ative | and Expira- | Underlying |Deriv- |Deriv- |Form |Benefici.|
|Security|Price of| (Month/ | (Month/ |(Instr.| Securities | tion Date | Securities |ative |ative |of |Ownership|
|(Instr. |Deriv- | Day/ | Day/ |8) | Acquired | (Month/Day/ | (Instr. 3 |Secur- |Secur- |Deriv- |(Instr. 4|
| 3) |ative | Year) | Year) | | (A) or | Year) | and 4) |ity |ities |ative | |
| |Security| | | | Disposed of |----------------|--------------|(Instr.|Bene- |Secur- | |
| | | | |-------| (D) (Instr. | | | | | 5) |ficially|ity | |
| | | | | | | 3, 4 and 5) | | | |Amount | |Owned |Direct | |
| | | | | | |--------------| | | |or | |folowing|(D) or | |
| | | | | | | | |Date |Expira- | |Number | |reported|Indirect| |
| | | | | | | | |Exer- |tion | |of | |tran.(s)|(I) | |
| | | | |Code| V| (A) | (D) |cisable|Date |Title |Shares | |(Inst.4)|Instr. 4| |
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+----------------------------------------------------------------------------------+
| | Relationships |
| Reporting Owner Name / Address +----------+----------+----------+-------- -+
| | Director |10% Owner | Officer | Other |
+--------------------------------------+----------+----------+----------+----------+
|Okazaki Jason A | . | . |CEO and Pr| |
| | | |esident | |
|C/O ASSEMBLY BIOSCIENCES, INC. | | | | |
|TWO TOWER PLACE, 7TH FLOOR | | | | |
|SOUTH SAN FRANCISCO CA 94080 | | | | |
|--------------------------------------+----------+----------+----------+----------|
Explanation of Responses:
1 Represents shares of common stock issuable under a performance-based restricted sto
ck unit award dated August 1, 2022. On April 29, 2024, a performance-based vesting co
ndition was achieved.
2 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 re
stricted stock units. The sale is mandated by an administrative rule adopted by the C
ompensation Committee of the Issuer's Board of Directors that requires the satisfacti
on of tax withholding obligations to be funded by a "sell-to-cover" transaction and d
oes not represent a discretionary transaction by the reporting person.
3 The price reported in Column 4 is a weighted average price. These shares were sold
in multiple transactions at prices ranging from $12.3851 to $12.8847, 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 informati
on regarding the number of shares sold at each separate price within.
Remarks:
Signatures
/s/ John O. Gunderson, as Attorney-in-Fact / 05-01-2024
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** Signature of Reporting Person Date
* If the form is filed by more than one reporting person, seeInstruction 5(b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, See Instruction 6 for procedure.
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