Assembly Biosciences CSO awarded 14,000 RSUs

Assembly Biosciences Chief Scientific Officer awarded RSUs.

Rhea-AI Filing Summary

Assembly Biosciences Chief Scientific Officer awarded RSUs. Chief Scientific Officer William E. Delaney IV received a grant of 14,000 restricted stock units of common stock at no cash cost, representing 35% of his annual equity grant. The award was contingent on stockholder approval of an amendment to the company’s 2018 Stock Incentive Plan and became issuable after that approval on June 4, 2026. The RSUs vest in four approximately equal annual installments on March 29, 2027, 2028, 2029, and 2030, assuming continued service. Following this award, he directly holds 60,330 shares of common stock, including 688 shares acquired through the employee stock purchase plan.

Insider Trade Summary

Grant/Award: 14,000 shares

Grant/Award 1 txn

Insider Delaney William E IV

Role Chief Scientific Officer

Type	Security	Shares	Price	Value
Grant/Award	Common Stock	14,000	$0.00	$0.00

Holdings After Transaction: Common Stock — 60,330 shares (Direct)

Footnotes (2)

1. F1. Restricted stock units ("RSUs") representing 35% of the reporting person's annual equity grant, which was approved on March 29, 2026 and was contingent upon stockholder approval of an amendment to the Issuer's Amended and Restated 2018 Stock Incentive Plan (the "Plan") that increased the number of shares of common stock authorized for issuance under the Plan (the "Plan Amendment"). Although the RSUs were granted on March 29, 2026, the RSUs became issuable upon stockholder approval of the Plan Amendment on June 4, 2026 and vest in four approximately 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. F2. Includes 688 shares acquired under the Assembly Biosciences, Inc. Second Amended and Restated 2018 Employee Stock Purchase Plan on May 14, 2026.

Key Figures

RSU grant size: 14,000 RSUs Grant price: $0.0000 per share Portion of annual equity grant: 35% +4 more

7 metrics

RSU grant size 14,000 RSUs Grant to Chief Scientific Officer on March 29, 2026

Grant price $0.0000 per share RSUs awarded at no cash cost

Portion of annual equity grant 35% RSUs as share of annual equity award

Shares after transaction 60,330 shares Direct holdings following RSU grant

ESPP shares included 688 shares Acquired May 14, 2026 under Employee Stock Purchase Plan

RSU vesting dates 2027, 2028, 2029, 2030 Four approximately equal annual installments starting March 29, 2027

Plan amendment approval date June 4, 2026 Stockholder approval making RSUs issuable

Key Terms

Restricted stock units ("RSUs"), Amended and Restated 2018 Stock Incentive Plan, Plan Amendment, Employee Stock Purchase Plan

4 terms

Restricted stock units ("RSUs") financial

"Restricted stock units ("RSUs") representing 35% of the reporting person's annual equity grant"

Restricted stock units (RSUs) are a company promise to give an employee shares of stock (or cash equivalent) in the future, but only after certain conditions—usually staying with the company for a set time or hitting performance goals—are met. Investors watch RSUs because when they vest they increase the number of shares outstanding and can lead insiders to sell shares, affecting share price, company dilution and the true cost of employee pay.

Amended and Restated 2018 Stock Incentive Plan financial

"amendment to the Issuer's Amended and Restated 2018 Stock Incentive Plan"

Plan Amendment financial

"the Plan Amendment that increased the number of shares of common stock authorized for issuance"

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.

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What did ASMB Chief Scientific Officer William E. Delaney IV receive in this Form 4?

William E. Delaney IV received a grant of 14,000 restricted stock units of Assembly Biosciences common stock. The grant represents 35% of his annual equity award and was issued at no cash cost as part of his compensation package.

How do the new RSUs for ASMB’s Chief Scientific Officer vest over time?

The 14,000 restricted stock units vest in four approximately equal annual installments. Vesting dates are March 29, 2027, March 29, 2028, March 29, 2029, and March 29, 2030, and each installment requires the executive’s continuous service through that date.

What approvals were required for the ASMB RSU grant reported in this Form 4?

The RSU grant was contingent on stockholder approval of an amendment to Assembly Biosciences’ Amended and Restated 2018 Stock Incentive Plan. This Plan Amendment increased the shares authorized for issuance and was approved on June 4, 2026, making the RSUs issuable.

How many ASMB shares does William E. Delaney IV own after this RSU grant?

After the reported RSU grant, William E. Delaney IV directly holds 60,330 shares of Assembly Biosciences common stock. This total includes 688 shares acquired on May 14, 2026, under the company’s Second Amended and Restated 2018 Employee Stock Purchase Plan.

What role does the ASMB 2018 Stock Incentive Plan play in this Form 4 transaction?

The RSUs come from Assembly Biosciences’ Amended and Restated 2018 Stock Incentive Plan. A Plan Amendment, approved by stockholders on June 4, 2026, increased authorized shares and was required before the 14,000 RSUs could become issuable to the Chief Scientific Officer.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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Accepted by SEC EDGAR 06/05/2026 - 04:10 PM Learn about SEC filing dates

SEC Form 4

FORM 4

UNITED 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^*

Delaney William E IV

(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)

	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	Chief Scientific 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)

X	Form 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)
			Code	V	Amount	(A) or (D)	Price
Common Stock	03/29/2026		A		14,000(1)	A	$0	60,330(2)	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)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares

Explanation of Responses:

1. Restricted stock units ("RSUs") representing 35% of the reporting person's annual equity grant, which was approved on March 29, 2026 and was contingent upon stockholder approval of an amendment to the Issuer's Amended and Restated 2018 Stock Incentive Plan (the "Plan") that increased the number of shares of common stock authorized for issuance under the Plan (the "Plan Amendment"). Although the RSUs were granted on March 29, 2026, the RSUs became issuable upon stockholder approval of the Plan Amendment on June 4, 2026 and vest in four approximately 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. Includes 688 shares acquired under the Assembly Biosciences, Inc. Second Amended and Restated 2018 Employee Stock Purchase Plan on May 14, 2026.

	/s/ John O. Gunderson, as Attorney-in-Fact	06/05/2026
	** Signature of Reporting Person	Date
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)