Form 4 for ASMB ASSEMBLY BIOSCIENCES, INC.

Accepted 2024-06-20 00:00:00 ET · period of report 2024-06-17 · accession 0000904454-24-000391 · SEC index · Original document

Summary rows

Aggregated the way they appear in lists: one row per insider, transaction code and security table.

X	Filed	Traded	Ticker	Insider	Title	Type	Price	Qty	Owned	ΔOwn	Value
D	2024-06-20	2024-06-17	ASMB	GILEAD SCIENCES, INC.	10%	P - Purchase	—	+179.5K	1.27M	+16%	—
D	2024-06-20	2024-06-17	ASMB	GILEAD SCIENCES, INC.	10%	P - Purchase	—	+179.5K	179.5K	New	—

Purchase Sale Sale after option exercise All abbreviations

#	Table	Security	Date	Code	A/D	Shares	Price	Owned after	Own	Exercise / expiry	Underlying	Footnotes
1	Common	Common Stock	2024-06-17	P	A	179,500	—	1,268,972	D	—	—	(F1) Pursuant to a securities purchase agreement between the Issuer and the Reporting Person, the Issuer issued and sold to the Reporting Person in a private placement 179,500 shares of the Issuer's common stock, par value $0.001 per share ("Common Stock"), and a warrant to purchase 179,500 shares of Common Stock (the "Warrant") at a combined price of $15.46 per share of Common Stock and accompanying warrant.
2	Derivative	Warrant to purchase Common Stock	2024-06-17	P	A	179,500	—	179,500	D	$17.00 · — to 2029-06-18	179,500 Common Stock	(F1) Pursuant to a securities purchase agreement between the Issuer and the Reporting Person, the Issuer issued and sold to the Reporting Person in a private placement 179,500 shares of the Issuer's common stock, par value $0.001 per share ("Common Stock"), and a warrant to purchase 179,500 shares of Common Stock (the "Warrant") at a combined price of $15.46 per share of Common Stock and accompanying warrant. (F2) The Warrant is exercisable at any time after the date of issuance and expires on June 18, 2029. A holder of the Warrant may not exercise the Warrant if the holder, together with its affiliates, would beneficially own more than 19.99% of the number of shares of Common Stock outstanding immediately after giving effect to such exercise.