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Midas Edge

ASSEMBLY BIOSCIENCES INC

For the period ended Dec 31, 2023. Filed Mar 28, 2024.

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About this filing

A company's yearly report to the SEC, with audited financial statements. It is the fullest account a company gives of its business, its finances and the risks it sees.

FY2023 · Filed Mar 28, 2024

ASMB$21.35-2.0%Stored close · as of Nov 10, 2026

Extracted filing text, with the paragraph anchors used by the comparison.

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Contents

Item 15. Exhibits, Financial Statement Schedules

(a) Exhibits. The following exhibits are filed as part of this Annual Report on Form 10-K:

ExhibitNumberDescription of DocumentRegistrant’sFormDatedExhibitNo.FiledHerewith
3.1 · Sixth Amended and Restated Certificate of Incorporation dated May 25, 2022. · X
3.2Certificate of Amendment to Sixth Amended and Restated Certificate of Incorporation of Assembly Biosciences, Inc., dated February 9, 2024.8-K02/13/20243.1
3.3Amended and Restated Bylaws as amended through December 7, 2022.8-K12/12/20223.1
4.1Specimen of Common Stock Certificate.S-312/30/20154.1
4.2Description of Securities.X
10.1Sublease, dated July 26, 2023, by and between Arsenal Biosciences, Inc., as Sublandlord, and Assembly Biosciences, Inc., as Subtenant.10-Q11/08/202310.1
10.2‡Option, License and Collaboration Agreement, dated October 15, 2023, by and between Assembly Biosciences, Inc. and Gilead Sciences, Inc.8-K10/17/202310.1
10.3‡Common Stock Purchase Agreement, dated October 15, 2023, by and between Assembly Biosciences, Inc. and Gilead Sciences, Inc.8-K10/17/202310.2
10.4‡Investor Rights Agreement, dated October 15, 2023, by and between Assembly Biosciences, Inc. and Gilead Sciences, Inc.8-K10/17/202310.3
10.5*Exclusive License Agreement dated September 3, 2013 by and between The Indiana University Research and Technology Corporation and Assembly Pharmaceuticals, Inc.10-Q11/17/201410.29
10.6†Amendment No. 1 to Exclusive License Agreement, by and between Assembly Biosciences, Inc. and the Indiana University Research and Technology Corporation.10-Q11/05/202010.1
10.7†Amendment No. 2 to Exclusive License Agreement, by and between Assembly Biosciences, Inc. and the Indiana University Research and Technology Corporation.10-Q11/05/202010.2
10.8†‡Collaboration Agreement, dated as of July 17, 2020, by and between Assembly Biosciences, Inc. and BeiGene, Ltd.10-Q11/05/202010.3
10.9#Amended and Restated Employment Agreement, dated December 12, 2022, between Assembly Biosciences, Inc. and Jason A. Okazaki.10-K03/22/202310.7
10.10#Employment Agreement, dated May 1, 2020, between Assembly Biosciences, Inc. and William E. Delaney IV, Ph.D., effective as of May 27, 2020.10-K02/25/202110.12
10.11#Employment Agreement, dated November 8, 2023, between Assembly Biosciences, Inc. and Anuj Gaggar, M.D., Ph.D.X
10.12#Employment Agreement, dated February 10, 2022, between Assembly Biosciences, Inc. and Nicole S. White, Ph.D., effective as of February 16, 2022.X
10.13#2010 Equity Incentive Plan.S-1/A10/4/201010.14
ExhibitNumber · Description of Document · Registrant’sForm · Dated · ExhibitNo. · FiledHerewith
10.14#Assembly Biosciences, Inc. Amended and Restated 2014 Stock Incentive Plan.8-K06/06/201610.1
10.15#Omnibus Amendment to Assembly Biosciences, Inc. Stock Incentive Plans.10-Q05/08/202010.2
10.16#Form of Notice of Stock Option Grant and Stock Option Agreement under the Amended and Restated 2014 Stock Incentive Plan.10-K03/22/202310.12
10.17#Form of Restricted Stock Unit Award Notice and Restricted Stock Unit Award Agreement under the Amended and Restated 2014 Stock Incentive Plan.10-Q11/01/201710.1
10.18#Assembly Biosciences, Inc. 2017 Inducement Award Plan.10-Q08/09/201710.1
10.19#Form of Notice of Stock Option Grant and Stock Option Agreement under the 2017 Inducement Award Plan.10-Q08/09/201710.2
10.20#Form of Restricted Stock Unit Award Notice and Restricted Stock Unit Award Agreement under the 2017 Inducement Award Plan.10-Q08/09/201710.3
10.21#Assembly Biosciences, Inc. 2018 Stock Incentive Plan.8-K06/01/201810.1
10.22#Amendment No. 1 to Assembly Biosciences, Inc. 2018 Stock Incentive Plan.8-K05/21/201910.2
10.23#Amendment No. 3 to Assembly Biosciences, Inc. 2018 Stock Incentive Plan.8-K06/16/202010.1
10.24#Amendment No. 4 to Assembly Biosciences, Inc. 2018 Stock Incentive Plan.8-K05/25/202110.1
10.25#Amendment No. 5 to Assembly Biosciences, Inc. 2018 Stock Incentive Plan.8-K05/27/202210.1
10.26#Amendment No. 6 to Assembly Biosciences, Inc. 2018 Stock Incentive Plan.8-K05/30/202310.1
10.27#Form of Notice of Stock Option Grant and Stock Option Agreement under the 2018 Stock Incentive Plan.10-K03/22/202310.22
10.28#Form of Restricted Stock Unit Award Notice and Restricted Stock Unit Award Agreement under the 2018 Stock Incentive Plan.8-K06/01/201810.3
10.29#Form of Stock Appreciation Right Award Agreement for Non-U.S. Grantees under the Assembly Biosciences, Inc. 2018 Stock Incentive Plan.8-K10/12/201810.4
10.30#Form of Performance-Based Stock Appreciation Right Award Agreement for Non-U.S. Grantees under the Assembly Biosciences, Inc. 2018 Stock Incentive Plan.10-K03/11/202210.24
10.31#Amended and Restated Assembly Biosciences, Inc. 2018 Employee Stock Purchase Plan.8-K05/25/202110.4
10.32#Assembly Biosciences, Inc. 2019 Inducement Award Plan.10-Q11/07/201910.4
10.33#Form of Notice of Stock Option Grant and Stock Option Agreement under the 2019 Inducement Award Plan.10-Q11/07/201910.5
10.34#Assembly Biosciences, Inc. 2020 Inducement Award Plan.10-Q05/08/202010.3
10.35#Form of Notice of Stock Option Grant and Stock Option Agreement under the 2020 Inducement Award Plan.10-Q05/08/202010.4
10.36#Form of Restricted Stock Unit Award Notice and Restricted Stock Unit Award Agreement under the 2020 Inducement Award Plan.10-Q05/08/202010.5
10.37Open Market Sale Agreement by and between Assembly Biosciences, Inc. and Jefferies LLC.S-308/28/20201.2
ExhibitNumberDescription of DocumentRegistrant’sFormDatedExhibitNo.FiledHerewith
10.38#Assembly Biosciences, Inc. 2022 Corporate Bonus Plan.8-K02/04/202210.1
21.1List of Subsidiaries of Assembly Biosciences, Inc.X
23.1Consent of Independent Registered Public Accounting Firm.X
24.1Power of Attorney (included on signature page).X
31.1Certification of the Chief Executive Officer Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.X
32.1**Certification of the Chief Executive Officer Pursuant to 18 U.S.C. Section 1350 as Adopted Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.X
97.1Clawback Policy.X
101.INSInline XBRL Instance Document.
101.SCHInline XBRL Taxonomy Extension Schema Document.
101.CALInline XBRL Taxonomy Extension Calculation Linkbase Document.
101.DEFInline XBRL Taxonomy Extension Definitions Linkbase Document.
101.LABInline XBRL Taxonomy Extension Label Linkbase Document.
101.PREInline XBRL Taxonomy Extension Presentation Linkbase Document.
104Cover Page Interactive Data File (embedded within the Inline XBRL document).
  • Certain information in this exhibit has been omitted and filed separately with the Securities and Exchange Commission pursuant to a confidential treatment request.

† The schedules to this exhibit have been omitted pursuant to Item 601(a)(5) of Regulation S-K.

‡ Portions of this exhibit have been omitted pursuant to Item 601(b)(10)(iv) of Regulation S-K.

#Represents management contracts or compensatory plans or arrangements.

** The certification attached as Exhibit 32.1 that accompanies this Annual Report on Form 10-K is to be deemed furnished and shall not be deemed “filed” with the SEC and is not to be incorporated by reference into any filing of Assembly Biosciences, Inc. under the Securities Act of 1933, as amended, or the Securities Exchange Act of 1934, as amended, whether made before or after the date of this Annual Report on Form 10-K, irrespective of any general incorporation language contained in such filing.

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