Asensus Surgical, Inc. Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 9 rows in 2011. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2011-03-10: Reporting owner HSIAO JANE PH D; Form 4; Security Stock Option (Right to Buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2011-03-10: Reporting owner FROST PHILLIP MD ET AL; Form 4; Security Stock Option (Right to Buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2011-03-10: Reporting owner Spragens Jeffrey G; Form 4; Security Stock Option (Right to Buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2011-03-10: Reporting owner Martin James Joseph; Form 4; Security Stock Option (Right to Buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2011-03-10 | HSIAO JANE PH D Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 100,000 owned after | $1.12 exercise price | 2011-03-11 | |
| 2011-03-10 | FROST PHILLIP MD ET AL 10% Owner | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 50,000 owned after | $1.12 exercise price | 2011-03-11 | |
| 2011-03-10 | Spragens Jeffrey G Director, Officer (President and CEO), 10% Owner | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 100,000 owned after | $1.12 exercise price | 2011-03-11 | |
| 2011-03-10 | Martin James Joseph Officer (Chief Financial Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +30,000 30,000 owned after | $1.12 exercise price | 2011-03-11 | |
| 2011-03-10 | PFENNIGER RICHARD C JR Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 25,000 owned after | $1.12 exercise price | 2011-03-11 | |
| 2011-03-10 | Rubin Steven D Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 25,000 owned after | $1.12 exercise price | 2011-03-11 | |
| 2011-03-10 | Chen Chao C Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,000 20,000 owned after | $1.12 exercise price | 2011-03-11 | |
| 2011-03-10 | Wayne Kevin Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,000 20,000 owned after | $1.12 exercise price | 2011-03-11 | |
| 2011-01-20 holding as of filing | Martin James Joseph Officer (Chief Financial Officer) | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $1.90 exercise price | 2011-01-20 |