ASSEMBLY BIOSCIENCES, INC.
For the period ended Dec 31, 2024. Filed Mar 20, 2025.
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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.
FY2024 · Filed Mar 20, 2025
ASMB$21.35-2.0%Stored close · as of Nov 10, 2026
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Item 15. Exhibits, Financial Statement Schedules
(a) Exhibits. The following exhibits are filed as part of this Annual Report on Form 10-K:
| ExhibitNumber | Description of Document | Registrant’sForm | Dated | ExhibitNo. | FiledHerewith |
|---|---|---|---|---|---|
| 3.1 | Sixth Amended and Restated Certificate of Incorporation dated May 25, 2022. | 10-K | 03/28/2024 | 3.1 | |
| 3.2 | Certificate of Amendment to Sixth Amended and Restated Certificate of Incorporation of Assembly Biosciences, Inc., dated February 9, 2024. | 8-K | 02/13/2024 | 3.1 | |
| 3.3 | Amended and Restated Bylaws as amended through December 12, 2024. | 8-K | 12/13/2024 | 3.1 | |
| 4.1 | Specimen of Common Stock Certificate. | X | |||
| 4.2 | Description of Securities. | 10-K | 03/28/2024 | 4.2 | |
| 4.3 | Registered Warrant. | 8-K | 06/18/2024 | 4.1 | |
| 4.4 | Private Placement Warrant. | 8-K | 06/18/2024 | 4.2 | |
| 10.1 | Sublease, dated July 26, 2023, by and between Arsenal Biosciences, Inc., as Sublandlord, and Assembly Biosciences, Inc., as Subtenant. | 10-Q | 11/08/2023 | 10.1 | |
| 10.2 | First Amendment to Sublease, dated December 30, 2024, by and between Arsenal Biosciences, Inc. and Assembly Biosciences, Inc. | 8-K | 01/03/2025 | 10.1 | |
| 10.3‡ | Option, License and Collaboration Agreement, dated October 15, 2023, by and between Assembly Biosciences, Inc. and Gilead Sciences, Inc. | 8-K | 10/17/2023 | 10.1 | |
| 10.4‡ | First Amendment to Option, License and Collaboration Agreement, dated December 19, 2024, by and between Assembly Biosciences, Inc. and Gilead Sciences, Inc. | 8-K | 12/19/2024 | 10.1 | |
| 10.5‡ | Common Stock Purchase Agreement, dated October 15, 2023, by and between Assembly Biosciences, Inc. and Gilead Sciences, Inc. | 8-K | 10/17/2023 | 10.2 | |
| 10.6 | Amendment No. 1 to Common Stock Purchase Agreement, dated June 17, 2024, by and between Assembly Biosciences, Inc. and Gilead Sciences, Inc. | 8-K | 06/18/2024 | 10.3 | |
| 10.7‡ | Investor Rights Agreement, dated October 15, 2023, by and between Assembly Biosciences, Inc. and Gilead Sciences, Inc. | 8-K | 10/17/2023 | 10.3 | |
| 10.8 | Amendment No. 1 to Investor Rights Agreement, dated June 17, 2024, by and between Assembly Biosciences, Inc. and Gilead Sciences, Inc. | 8-K | 06/18/2024 | 10.4 | |
| 10.9# | Amended and Restated Employment Agreement, dated December 12, 2022, between Assembly Biosciences, Inc. and Jason A. Okazaki. | 10-K | 03/22/2023 | 10.7 | |
| 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-K | 02/25/2021 | 10.12 | |
| 10.11# | Employment Agreement, dated November 8, 2023, between Assembly Biosciences, Inc. and Anuj Gaggar, M.D., Ph.D. | 10-K | 03/28/2024 | 10.11 | |
| 10.12# | Employment Agreement, dated February 10, 2022, between Assembly Biosciences, Inc. and Nicole S. White, Ph.D., effective as of February 16, 2022. | 10-K | 03/28/2024 | 10.12 | |
| 10.13# | 2010 Equity Incentive Plan. | S-1/A | 10/4/2010 | 10.14 | |
| 10.14# | Assembly Biosciences, Inc. Amended and Restated 2014 Stock Incentive Plan. | 8-K | 06/06/2016 | 10.1 | |
| ExhibitNumber | Description of Document | Registrant’sForm | Dated | ExhibitNo. | FiledHerewith |
|---|---|---|---|---|---|
| 10.15# | Omnibus Amendment to Assembly Biosciences, Inc. Stock Incentive Plans. | 10-Q | 05/08/2020 | 10.2 | |
| 10.16# | Form of Notice of Stock Option Grant and Stock Option Agreement under the Amended and Restated 2014 Stock Incentive Plan. | 10-K | 03/22/2023 | 10.12 | |
| 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-Q | 11/01/2017 | 10.1 | |
| 10.18# | Assembly Biosciences, Inc. 2017 Inducement Award Plan. | 10-Q | 08/09/2017 | 10.1 | |
| 10.19# | Form of Notice of Stock Option Grant and Stock Option Agreement under the 2017 Inducement Award Plan. | 10-Q | 08/09/2017 | 10.2 | |
| 10.20# | Form of Restricted Stock Unit Award Notice and Restricted Stock Unit Award Agreement under the 2017 Inducement Award Plan. | 10-Q | 08/09/2017 | 10.3 | |
| 10.21# | Assembly Biosciences, Inc. Amended and Restated 2018 Stock Incentive Plan. | 8-K | 06/03/2024 | 10.1 | |
| 10.22# | Form of Notice of Stock Option Grant and Stock Option Agreement under the 2018 Stock Incentive Plan. | 10-K | 03/22/2023 | 10.22 | |
| 10.23# | Form of Restricted Stock Unit Award Notice and Restricted Stock Unit Award Agreement under the 2018 Stock Incentive Plan. | 8-K | 06/01/2018 | 10.3 | |
| 10.24# | Form of Stock Appreciation Right Award Agreement for Non-U.S. Grantees under the Assembly Biosciences, Inc. 2018 Stock Incentive Plan. | 8-K | 10/12/2018 | 10.4 | |
| 10.25# | Form of Performance-Based Stock Appreciation Right Award Agreement for Non-U.S. Grantees under the Assembly Biosciences, Inc. 2018 Stock Incentive Plan. | 10-K | 03/11/2022 | 10.24 | |
| 10.26# | Assembly Biosciences, Inc. Second Amended and Restated 2018 Employee Stock Purchase Plan. | 8-K | 06/03/2024 | 10.2 | |
| 10.27# | Assembly Biosciences, Inc. 2019 Inducement Award Plan. | 10-Q | 11/07/2019 | 10.4 | |
| 10.28# | Form of Notice of Stock Option Grant and Stock Option Agreement under the 2019 Inducement Award Plan. | 10-Q | 11/07/2019 | 10.5 | |
| 10.29# | Assembly Biosciences, Inc. 2020 Inducement Award Plan. | 10-Q | 05/08/2020 | 10.3 | |
| 10.30# | Form of Notice of Stock Option Grant and Stock Option Agreement under the 2020 Inducement Award Plan. | 10-Q | 05/08/2020 | 10.4 | |
| 10.31# | Form of Restricted Stock Unit Award Notice and Restricted Stock Unit Award Agreement under the 2020 Inducement Award Plan. | 10-Q | 05/08/2020 | 10.5 | |
| 10.32 | Securities Purchase Agreement, dated June 16, 2024, by and between Assembly Biosciences, Inc. and the Purchaser. | 8-K | 06/18/2024 | 10.1 | |
| 10.33 | Securities Purchase Agreement, dated June 17, 2024, by and between Assembly Biosciences, Inc. and Gilead Sciences, Inc. | 8-K | 06/18/2024 | 10.2 | |
| 10.34 | Open Market Sale Agreement by and between Assembly Biosciences, Inc. and Jefferies LLC. | 8-K | 11/07/2024 | 1.1 | |
| 10.35# | Assembly Biosciences, Inc. 2024 Corporate Bonus Plan. | 8-K | 03/15/2024 | 10.1 | |
| 19.1 | Assembly Biosciences, Inc. Insider Trading Policy | X | |||
| 21.1 | List of Subsidiaries of Assembly Biosciences, Inc. | X | |||
| 23.1 | Consent of Independent Registered Public Accounting Firm. | X | |||
| ExhibitNumber · Description of Document · Registrant’sForm · Dated · ExhibitNo. · FiledHerewith | ||||
|---|---|---|---|---|
| 24.1 · Power of Attorney (included on signature page). · X | ||||
| 31.1 · Certification 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 | ||||
| 97.1 | Clawback Policy. | 10-K | 03/28/2024 | 97.1 |
| 101.INS | Inline XBRL Instance Document. | |||
| 101.SCH | Inline XBRL Taxonomy Extension Schema Document. | |||
| 101.CAL | Inline XBRL Taxonomy Extension Calculation Linkbase Document. | |||
| 101.DEF | Inline XBRL Taxonomy Extension Definitions Linkbase Document. | |||
| 101.LAB | Inline XBRL Taxonomy Extension Label Linkbase Document. | |||
| 101.PRE | Inline XBRL Taxonomy Extension Presentation Linkbase Document. | |||
| 104 | Cover Page Interactive Data File (embedded within the Inline XBRL document). | |||
† 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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