ASSEMBLY BIOSCIENCES, INC. 10-Q

Item 5. Other Information None. 65 Item 6. Exhibits (a) Exhibits. The following exhibits are filed as part of this quarterly report on Form 10-Q: Exhibit Number Description of Document Filed Herewith Incorporated by Reference from Date Number 10.1† Amendment No. 1 to Exclusive License Agreement, by and between Assembly Biosciences, Inc. and the Indiana University Research and Technology Corporation. X 10.2† Amendment No. 2 to Exclusive License Agreement by and between Assembly Biosciences, Inc. and the Indiana University Research and Technology Corporation. X 10.3†‡ Collaboration Agreement, dated as of July 17, 2020, by and between Assembly Biosciences, Inc. and BeiGene, Ltd. X 31.1 Certification of Chief Executive Officer Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. X 31.2 Certification of the Chief Financial Officer Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. X 32.1* Certification of Chief Executive Officer Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002. X 32.2* Certification of the Chief Financial Officer Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002. X 101.SCH Inline XBRL Taxonomy Extension Schema Document X 101.CAL Inline XBRL Taxonomy Extension Calculation Linkbase Document X 101.LAB Inline XBRL Taxonomy Extension Label Linkbase Document X 101.PRE Inline XBRL Taxonomy Extension Presentation Linkbase Document X 101.DEF Inline XBRL Taxonomy Extension Definition Linkbase Document X 104 Cover Page Interactive Data File (formatted as inline XBRL with applicable taxonomy extension information contained in Exhibits 101.) X † The schedules to this exhibit have been omitted pursuant to Item 601(a)(5) of Regulation S-K. ‡ Portions of this exhibit that are both not material and would likely cause competitive harm to the registrant if publicly disclosed have been omitted pursuant to Item 601(b)(10)(iv) of Regulation S-K. * The certifications attached as Exhibit 32.1 and Exhibit 32.2 that accompany this Quarterly Report on Form 10-Q are not deemed filed with the SEC and are 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 Quarterly Report on Form 10-Q, irrespective of any general incorporation language contained in such filing. 66 In accordance with the requirements of the Securities Exchange Act of 1934, the registrant c aused this report to be signed on its behalf by the undersigned, thereunto duly authorized. Assembly Biosciences, Inc. Date: November 5, 2020 By: /s/ John G. McHutchison, A.O., M.D. John G. McHutchison, A.O., M.D. Chief Executive Officer and President (Principal Executive Officer) Date: November 5, 2020 By: /s/ Thomas J. Russo, CFA Thomas J. Russo, CFA Chief Financial Officer (Principal Financial Officer and Principal Accounting Officer) 67