Asensus Surgical, Inc. Forms 3, 4 and 5: Preferred Stock
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 32 rows, 32 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2013-12-10: Reporting owner StepStone Pioneer Capital Buyout Fund II, L.P. | StepStone PC GP, LLC | StepStone Pioneer Capital II, L.P. | StepStone Group LP | StepStone-SYN Investments, L.L.L.P. | StepStone Group Holdings LLC; Form 3/A; Security Series B Preferred Stock; Transaction Holding.
- 2013-12-06: Reporting owner Stack Richard S.; Form 4; Security Series B Convertible Preferred Stock; Transaction C Conversion of derivative security.
- 2013-12-06: Reporting owner SYNERGY LIFE SCIENCE PARTNERS L P | Jain Mudit K. | Synergy Venture Partners, LLC; Form 4; Security Series B Convertible Preferred Stock; Transaction C Conversion of derivative security.
- 2013-12-06: Reporting owner Starling William N JR; Form 4; Security Series B Convertible Preferred Stock; Transaction C Conversion of derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2013-12-10 holding as of filing | StepStone Pioneer Capital Buyout Fund II, L.P. | StepStone PC GP, LLC | StepStone Pioneer Capital II, L.P. | StepStone Group LP | StepStone-SYN Investments, L.L.L.P. | StepStone Group Holdings LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3/A | Series B Preferred Stock Derivative · Indirect · See footnote. | Holding | no price filed | 2013-12-10 | ||
| 2013-12-06 | Stack Richard S. 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Indirect · By Synergy Life Science Partners LP | C Conversion of derivative security | −866,234 0 owned after | $0.00 | 2013-12-10 | |
| 2013-12-06 | SYNERGY LIFE SCIENCE PARTNERS L P | Jain Mudit K. | Synergy Venture Partners, LLC 10% Owner | 10% Owner | 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −866,234 0 owned after | $0.00 | 2013-12-10 | |
| 2013-12-06 | Starling William N JR Director | 4 | Series B Convertible Preferred Stock Derivative · Indirect · Synergy Life Science Partners, L.P. (2) | C Conversion of derivative security | −866,234 0 owned after | $0.00 | 2013-12-10 | |
| 2013-12-06 | SLATTERY JOSEPH P Officer (EVP and CFO) | 4 | Series B Convertible Preferred Stock Derivative · Indirect · Held by Reporting Person and Spouse as JTWROS | C Conversion of derivative security | −25,000 0 owned after | $0.00 | 2013-12-10 | |
| 2013-12-06 | SV Life Sciences Fund IV (GP), L.P. | SV LIFE SCIENCES FUND IV STRATEGIC PARTNERS, L. P. | SV LIFE SCIENCES FUND IV, L.P. | SVLSF IV, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −1,123,094 0 owned after | $0.00 | 2013-12-10 | |
| 2013-12-06 | SV Life Sciences Fund IV (GP), L.P. | SV LIFE SCIENCES FUND IV STRATEGIC PARTNERS, L. P. | SV LIFE SCIENCES FUND IV, L.P. | SVLSF IV, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −31,886 0 owned after | $0.00 | 2013-12-10 | |
| 2013-12-06 | Dougherty Dennis Director | 4 | Series B Convertible Preferred Stock Derivative · Indirect · Intersouth Partners VII, L.P. | C Conversion of derivative security | −598,706 0 owned after | $0.00 | 2013-12-10 | |
| 2013-12-06 | Frost Gamma Investments Trust | FROST PHILLIP MD ET AL 10% Owner | Director | 4 | Series B Convertible Preferred Stock Derivative · Indirect · Frost Gamma Investments Trust | C Conversion of derivative security | −742,000 0 owned after | $0.00 | 2013-12-10 | |
| 2013-12-06 | HSIAO JANE PH D Director | 4 | Series B Convertible Preferred Stock Derivative · Direct · (m) | C Conversion of derivative security | −437,500 0 owned after | $0.00 | 2013-12-10 | |
| 2013-12-06 | HSIAO JANE PH D Director | 4 | Series B Convertible Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −437,500 0 owned after | $0.00 | 2013-12-10 | |
| 2013-12-06 | StepStone PC GP, LLC | StepStone Pioneer Capital Buyout Fund II, L.P. | StepStone Group LP | StepStone-SYN Investments, L.L.L.P. | StepStone Group Holdings LLC | StepStone Pioneer Capital II, L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −561,156 0 owned after | $0.00 | 2013-12-10 | |
| 2013-09-11 holding as of filing | StepStone PC GP, LLC | StepStone Pioneer Capital Buyout Fund II, L.P. | StepStone Group LP | StepStone Group Holdings LLC | StepStone Pioneer Capital II, L.P. | StepStone-SYN Investments, L.L.L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series B Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2013-09-11 | ||
| 2013-09-11 holding as of filing | SV LIFE SCIENCES FUND IV STRATEGIC PARTNERS, L. P. | SV LIFE SCIENCES FUND IV, L.P. | SVLSF IV, LLC | SV Life Sciences Fund IV (GP), L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series B Convertible Preferred Stock Derivative · Indirect · (m) | Holding | $0.40 exercise price | 2013-09-11 | ||
| 2013-09-11 holding as of filing | SV LIFE SCIENCES FUND IV STRATEGIC PARTNERS, L. P. | SV LIFE SCIENCES FUND IV, L.P. | SVLSF IV, LLC | SV Life Sciences Fund IV (GP), L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series B Convertible Preferred Stock Derivative · Indirect · (m) | Holding | $0.40 exercise price | 2013-09-11 | ||
| 2013-09-11 holding as of filing | SV LIFE SCIENCES FUND IV STRATEGIC PARTNERS, L. P. | SV LIFE SCIENCES FUND IV, L.P. | SVLSF IV, LLC | SV Life Sciences Fund IV (GP), L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series B Convertible Preferred Stock Derivative · Direct · (m) | Holding | $0.40 exercise price | 2013-09-11 | ||
| 2013-09-11 holding as of filing | SV LIFE SCIENCES FUND IV STRATEGIC PARTNERS, L. P. | SV LIFE SCIENCES FUND IV, L.P. | SVLSF IV, LLC | SV Life Sciences Fund IV (GP), L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series B Convertible Preferred Stock Derivative · Direct · (m) | Holding | $0.40 exercise price | 2013-09-11 | ||
| 2013-09-03 | HSIAO JANE PH D Director | 4 | Series B Convertible Preferred Stock Derivative · Indirect · (m) | P Open market or private purchase of non-derivative or derivative security | +437,500 437,500 owned after | $4.00 | 2013-09-05 | |
| 2013-09-03 | HSIAO JANE PH D Director | 4 | Series B Convertible Preferred Stock Derivative · Direct · (m) | P Open market or private purchase of non-derivative or derivative security | +437,500 437,500 owned after | $4.00 | 2013-09-05 | |
| 2013-09-03 | FROST PHILLIP MD ET AL Director | 4 | Series B Convertible Preferred Stock Derivative · Indirect · Frost Gamma Investments Trust | P Open market or private purchase of non-derivative or derivative security | +742,000 742,000 owned after | $4.00 | 2013-09-05 | |
| 2013-09-03 | Synergy Venture Partners, LLC | Jain Mudit K. | Stack Richard S. | SYNERGY LIFE SCIENCE PARTNERS L P 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series B Preferred Stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +866,234 866,234 owned after | $4.00 | 2013-09-05 | |
| 2013-09-03 | Starling William N JR Director | 4 | Series B Preferred Stock Derivative · Indirect · Synergy Life Science Partners, L.P. | P Open market or private purchase of non-derivative or derivative security | +866,234 866,234 owned after | $4.00 | 2013-09-05 | |
| 2013-09-03 | Dougherty Dennis Director | 4 | Series B Preferred Stock Derivative · Indirect · By Intersouth Partners, VII, L.P. | P Open market or private purchase of non-derivative or derivative security | +598,706 598,706 owned after | $4.00 | 2013-09-05 | |
| 2013-09-03 | Purcell Dennis J | AISLING CAPITAL III LP | ELMS STEVE | SCHIFF ANDREW N | Aisling Capital Partners III LLC | Aisling Capital Partners III LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · By Aisling Capital III, LP | P Open market or private purchase of non-derivative or derivative security | +1,240,176 1,240,176 owned after | $4.00 | 2013-09-05 | |
| 2012-07-24 | SCHIFF ANDREW N | ELMS STEVE | Purcell Dennis J | Aisling Capital Partners III LLC | Aisling Capital Partners III LP | AISLING CAPITAL III LP Director, 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · By Aisling Capital III, LP | C Conversion of derivative security | −1,240,176 0 owned after | $0.00 | 2013-12-10 | |
| 2010-09-10 | Spragens Jeffrey G Director, Officer (President and CEO), 10% Owner | 4 | 10% Series A Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −100,000 0 owned after | $1.00 | 2010-09-13 | |
| 2010-09-10 | HSIAO JANE PH D Director | 4 | 10% Series A Convertible Preferred Stock Derivative · Indirect · Hsu Gamma Investment, L.P. | C Conversion of derivative security | −447,500 0 owned after | $1.00 | 2010-09-13 | |
| 2010-09-10 | FROST PHILLIP MD ET AL | Frost Gamma Investments Trust 10% Owner | 10% Owner | 4 | 10% Series A Convertible Preferred Stock Derivative · Indirect · Frost Gamma Investments Trust | C Conversion of derivative security | −447,500 0 owned after | $1.00 | 2010-09-13 | |
| 2010-01-12 | Spragens Jeffrey G Director, Officer (President and CEO) | 4 | 10% Series A Convertible Preferred Stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +100,000 100,000 owned after | $1.00 | 2010-01-14 | |
| 2010-01-12 | HSIAO JANE PH D Director | 4 | 10% Series A Convertible Preferred Stock Derivative · Indirect · Hsu Gamma Investments, L.P. | P Open market or private purchase of non-derivative or derivative security | +447,500 447,500 owned after | $1.00 | 2010-01-14 | |
| 2010-01-12 | Frost Gamma Investments Trust | FROST PHILLIP MD ET AL 10% Owner | 10% Owner | 4 | 10% Series A Convertible Preferred Stock Derivative · Indirect · Frost Gamma Investments Trust | P Open market or private purchase of non-derivative or derivative security | +447,500 447,500 owned after | $1.00 | 2010-01-14 | |
| 2009-08-03 holding as of filing | UniMed Investment Inc. 10% Owner | 3 | Series A Convertible Preferred Stock, par value $0.01 per sh Derivative · Direct | Holding | $1.00 exercise price | 2009-08-03 |