Asensus Surgical, Inc. Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 20 rows in 2013. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2013-12-16: Reporting owner Stack Richard S.; Form 3/A; Security Option to Purchase; Transaction Holding.
- 2013-10-24: Reporting owner Starling William N JR; Form 4; Security Employee Stock Option (right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2013-09-11: Reporting owner LAVIOLETTE PAUL A; Form 3; Security Stock Option (right to buy); Transaction Holding.
- 2013-09-04: Reporting owner Starling William N JR; Form 3; Security Employee Stock Option (right to buy); Transaction Holding.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2013-12-16 holding as of filing | Stack Richard S. 10% Owner | 3/A | Option to Purchase Derivative · Direct | Holding | $0.07 exercise price | 2013-12-16 | ||
| 2013-10-24 | Starling William N JR Director | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −64,872 108,123 owned after | $0.07 exercise price | 2013-10-28 | |
| 2013-09-11 holding as of filing | LAVIOLETTE PAUL A Director | 3 | Stock Option (right to buy) Derivative · Direct | Holding | $0.07 exercise price | 2013-09-11 | ||
| 2013-09-04 holding as of filing | Starling William N JR Director | 3 | Employee Stock Option (right to buy) Derivative · Direct | Holding | $0.07 exercise price | 2013-09-04 | ||
| 2013-09-04 holding as of filing | Pope Todd Director, Officer (President and CEO) | 3 | Employee Stock Option (right to buy) Derivative · Direct | Holding | $0.07 exercise price | 2013-09-04 | ||
| 2013-09-04 holding as of filing | Pope Todd Director, Officer (President and CEO) | 3 | Employee Stock Option (right to buy) Derivative · Direct | Holding | $0.07 exercise price | 2013-09-04 | ||
| 2013-09-04 holding as of filing | Pope Todd Director, Officer (President and CEO) | 3 | Employee Stock Option (right to buy) Derivative · Direct | Holding | $0.07 exercise price | 2013-09-04 | ||
| 2013-09-04 holding as of filing | Pope Todd Director, Officer (President and CEO) | 3 | Employee Stock Option (right to buy) Derivative · Direct | Holding | $0.07 exercise price | 2013-09-04 | ||
| 2013-09-04 holding as of filing | Pope Todd Director, Officer (President and CEO) | 3 | Employee Stock Option (right to buy) Derivative · Direct | Holding | $0.40 exercise price | 2013-09-04 | ||
| 2013-09-04 holding as of filing | Mueller Richard Officer (Chief Operating Officer) | 3 | Employee Stock Option (right to buy) Derivative · Direct | Holding | $0.07 exercise price | 2013-09-04 | ||
| 2013-09-04 holding as of filing | Mueller Richard Officer (Chief Operating Officer) | 3 | Employee Stock Option (right to buy) Derivative · Direct | Holding | $0.07 exercise price | 2013-09-04 | ||
| 2013-04-23 | 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 | $0.45 exercise price | 2013-04-25 | |
| 2013-04-23 | Rubin Steven D Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +35,000 35,000 owned after | $0.45 exercise price | 2013-04-25 | |
| 2013-04-23 | 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 | $0.45 exercise price | 2013-04-25 | |
| 2013-04-23 | 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 | $0.45 exercise price | 2013-04-25 | |
| 2013-04-23 | 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) | +100,000 100,000 owned after | $0.45 exercise price | 2013-04-25 | |
| 2013-04-23 | 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) | +200,000 200,000 owned after | $0.45 exercise price | 2013-04-25 | |
| 2013-04-23 | 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) | +70,000 70,000 owned after | $0.45 exercise price | 2013-04-25 | |
| 2013-04-23 | Filipi Charles Director, Officer (Chief Medical Officer), 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 | $0.45 exercise price | 2013-04-25 | |
| 2013-04-23 | 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) | +150,000 150,000 owned after | $0.45 exercise price | 2013-04-25 |