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Assembly Biosciences (ASMB) CMO awarded 26,000 RSUs vesting through 2030

Filing Impact
(Neutral)
Filing Sentiment
(Neutral)
Form Type
4

Rhea-AI Filing Summary

Assembly Biosciences Chief Medical Officer Anuj Gaggar received an equity grant tied to company stock. The Form 4 reports a grant of 26,000 shares underlying restricted stock units that were awarded at no cash cost to him.

The RSUs vest in four equal installments on March 29 of 2027, 2028, 2029 and 2030, assuming he remains in continuous service. The award represents 65% of his annual equity grant, while the remaining 35% is contingent on stockholder approval of an increase in shares authorized under the company’s 2018 stock incentive plan. After this grant, he directly holds 28,000 shares, including 2,000 shares previously acquired through the employee stock purchase plan.

Positive

  • None.

Negative

  • None.
Insider Gaggar Anuj
Role Chief Medical Officer
Type Security Shares Price Value
Grant/Award Common Stock 26,000 $0.00 --
Holdings After Transaction: Common Stock — 28,000 shares (Direct)
Footnotes (1)
  1. Grant of restricted stock units ("RSUs"). The RSUs vest in four equal installments, assuming continuous service on each vesting date, as follows: March 29, 2027; March 29, 2028; March 29, 2029; and March 29, 2030. RSUs represent 65% of the reporting person's annual equity grant. The remaining 35% of the RSUs granted are contingent upon stockholder approval of an amendment to the Issuer's Amended and Restated 2018 Stock Incentive Plan (the "Plan") that increases the number of shares of common stock authorized for issuance under the Plan. Includes 2,000 shares acquired under the Assembly Biosciences, Inc. Second Amended and Restated 2018 Employee Stock Purchase Plan on November 14, 2025.
RSU grant size 26,000 shares Restricted stock units granted to CMO Anuj Gaggar
RSU price per share $0.00 Reported transaction price per share for RSU grant
Shares held after grant 28,000 shares Total direct holdings following the reported transaction
ESPP shares included 2,000 shares Shares acquired November 14, 2025 under Employee Stock Purchase Plan
RSU vesting dates 2027, 2028, 2029, 2030 Four equal annual vesting dates on March 29 of each year
Annual equity grant portion 65% RSUs reported as percentage of annual equity grant
Contingent RSU portion 35% RSUs contingent on stockholder approval of plan amendment
restricted stock units financial
"Grant of restricted stock units ("RSUs"). The RSUs vest in four equal installments"
Restricted stock units are a type of company reward where employees are promised shares of stock, but they only fully own these shares after meeting certain conditions, like staying with the company for a set time. They matter because they can become valuable assets and are often used to motivate employees to help the company succeed.
annual equity grant financial
"RSUs represent 65% of the reporting person's annual equity grant."
Amended and Restored 2018 Stock Incentive Plan financial
"approval of an amendment to the Issuer's Amended and Restated 2018 Stock Incentive Plan"
Employee Stock Purchase Plan financial
"acquired under the Assembly Biosciences, Inc. Second Amended and Restated 2018 Employee Stock Purchase Plan"
An employee stock purchase plan is a company program that lets workers buy shares through small payroll deductions, often at a discount to the market price and after a set offering period. Think of it like a workplace savings plan that turns into ownership: it encourages employees to share in the company’s success and can create predictable buying or selling of stock that investors watch because it affects supply, demand and employee incentives.
continuous service financial
"The RSUs vest in four equal installments, assuming continuous service on each vesting date"
Form 4 Insider Transactions: What Each Field Means →
SEC Form 4
FORM 4UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number:3235-0287
Estimated average burden
hours per response:0.5
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
1. Name and Address of Reporting Person*
Gaggar Anuj
(Last)(First)(Middle)
C/O ASSEMBLY BIOSCIENCES, INC.
TWO TOWER PLACE, 7TH FLOOR
(Street)
SOUTH SAN FRANCISCO CALIFORNIA 94080
(City)(State)(Zip)
UNITED STATES
(Country)		2. Issuer Name and Ticker or Trading Symbol
ASSEMBLY BIOSCIENCES, INC. [ ASMB ] 		5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director10% Owner
XOfficer (give title below)Other (specify below)
Chief Medical Officer
2a. Foreign Trading Symbol
3. Date of Earliest Transaction (Month/Day/Year)
03/29/2026		6. Individual or Joint/Group Filing (Check Applicable Line)
XForm filed by One Reporting Person
Form filed by More than One Reporting Person
4. If Amendment, Date of Original Filed (Month/Day/Year)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year)2A. Deemed Execution Date, if any (Month/Day/Year)3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeVAmount(A) or (D)Price
Common Stock03/29/2026A26,000(1)(2)A$028,000(3)D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year)3A. Deemed Execution Date, if any (Month/Day/Year)4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year)7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Explanation of Responses:
1. Grant of restricted stock units ("RSUs"). The RSUs vest in four equal installments, assuming continuous service on each vesting date, as follows: March 29, 2027; March 29, 2028; March 29, 2029; and March 29, 2030.
2. RSUs represent 65% of the reporting person's annual equity grant. The remaining 35% of the RSUs granted are contingent upon stockholder approval of an amendment to the Issuer's Amended and Restated 2018 Stock Incentive Plan (the "Plan") that increases the number of shares of common stock authorized for issuance under the Plan.
3. Includes 2,000 shares acquired under the Assembly Biosciences, Inc. Second Amended and Restated 2018 Employee Stock Purchase Plan on November 14, 2025.
/s/ John O. Gunderson, as Attorney-in-Fact03/31/2026
** Signature of Reporting PersonDate
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (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.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
* Form 4: SEC 1474 (03-26)

Source: View Original Filing on SEC EDGAR

FAQ

What did Assembly Biosciences (ASMB) disclose about Anuj Gaggar in this Form 4?

Assembly Biosciences reported that Chief Medical Officer Anuj Gaggar received a grant of 26,000 restricted stock units. These RSUs are tied to common stock and increase his direct holdings to 28,000 shares following the reported transaction.

How do Anuj Gaggar’s new RSUs at Assembly Biosciences (ASMB) vest over time?

The 26,000 restricted stock units granted to Anuj Gaggar vest in four equal installments. Vesting dates are March 29, 2027, March 29, 2028, March 29, 2029, and March 29, 2030, contingent on his continued service with Assembly Biosciences.

What portion of Anuj Gaggar’s annual equity grant at ASMB is covered by these RSUs?

The restricted stock units reported represent 65% of Anuj Gaggar’s annual equity grant. The remaining 35% of RSUs is contingent upon stockholder approval of an amendment increasing shares authorized under Assembly Biosciences’ Amended and Restated 2018 Stock Incentive Plan.

How many ASMB shares does Anuj Gaggar hold after this RSU grant?

Following the reported transaction, Anuj Gaggar directly holds 28,000 Assembly Biosciences shares. This total includes 2,000 shares he previously acquired on November 14, 2025, under the Second Amended and Restated 2018 Employee Stock Purchase Plan.

What is the purchase price for the Assembly Biosciences RSUs granted to Anuj Gaggar?

The 26,000 restricted stock units granted to Anuj Gaggar have a reported price per share of $0.00. RSUs are typically awarded as part of compensation and do not require the executive to pay a purchase price for the underlying shares.