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, 10 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2013-09-03: Reporting owner HSIAO JANE PH D; Form 4; Security Series B Convertible Preferred Stock; Transaction P Open market or private purchase of non-derivative or derivative security.
- 2013-09-03: Reporting owner HSIAO JANE PH D; Form 4; Security Series B Convertible Preferred Stock; Transaction P Open market or private purchase of non-derivative or derivative security.
- 2013-09-03: Reporting owner FROST PHILLIP MD ET AL; Form 4; Security Series B Convertible Preferred Stock; Transaction P Open market or private purchase of non-derivative or derivative security.
- 2013-09-03: Reporting owner Synergy Venture Partners, LLC | Jain Mudit K. | Stack Richard S. | SYNERGY LIFE SCIENCE PARTNERS L P; Form 4; Security Series B Preferred Stock; Transaction P Open market or private purchase of non-derivative or derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 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 | |
| 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 |