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 2014. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2014-09-08: Reporting owner Pope Todd; Form 4; Security Stock Option; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2014-09-05: Reporting owner Pope Todd; Form 4; Security Stock Option; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2014-09-04: Reporting owner Mueller Richard; Form 4; Security Stock Option; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2014-09-04: Reporting owner Pope Todd; Form 4; Security Stock Option; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2014-09-08 | Pope Todd Director, Officer (President and CEO) | 4 | Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,000 81,691 owned after | $0.35 exercise price | 2014-09-08 | |
| 2014-09-05 | Pope Todd Director, Officer (President and CEO) | 4 | Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −14,800 91,691 owned after | $0.35 exercise price | 2014-09-08 | |
| 2014-09-04 | Mueller Richard Officer (Chief Operating Officer) | 4 | Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,000 26,458 owned after | $0.35 exercise price | 2014-09-08 | |
| 2014-09-04 | Pope Todd Director, Officer (President and CEO) | 4 | Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −25,200 106,491 owned after | $0.35 exercise price | 2014-09-08 | |
| 2014-05-28 | PFENNIGER RICHARD C JR Director | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 25,000 owned after | $4.00 exercise price | 2014-05-30 | |
| 2014-05-28 | Kherani Aftab Director | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,000 20,000 owned after | $4.00 exercise price | 2014-05-30 | |
| 2014-05-28 | Milne David Bruce 10% Owner | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,000 20,000 owned after | $4.00 exercise price | 2014-05-30 | |
| 2014-05-28 | HSIAO JANE PH D Director | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 20,000 owned after | $4.00 exercise price | 2014-05-30 | |
| 2014-05-28 | Dougherty Dennis Director | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,000 20,000 owned after | $4.00 exercise price | 2014-05-30 | |
| 2014-05-28 | Starling William N JR Director | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 25,000 owned after | $4.00 exercise price | 2014-05-30 | |
| 2014-05-28 | LAVIOLETTE PAUL A Director | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +30,000 30,000 owned after | $4.00 exercise price | 2014-05-30 | |
| 2014-05-27 | Mueller Richard Officer (Chief Operating Officer) | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +41,300 41,300 owned after | $3.94 exercise price | 2014-05-29 | |
| 2014-05-27 | SLATTERY JOSEPH P Officer (EVP and CFO) | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,900 25,900 owned after | $3.94 exercise price | 2014-05-29 | |
| 2014-05-27 | Pope Todd Director, Officer (President and CEO) | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +82,600 82,600 owned after | $3.94 exercise price | 2014-05-29 | |
| 2014-04-21 | SLATTERY JOSEPH P Officer (EVP and CFO) | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +500,000 500,000 owned after | $4.02 exercise price | 2014-04-23 | |
| 2014-02-13 | Mueller Richard Officer (Chief Operating Officer) | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +200,000 200,000 owned after | $1.60 exercise price | 2014-02-18 | |
| 2014-02-13 | Mueller Richard Officer (Chief Operating Officer) | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +120,000 120,000 owned after | $1.60 exercise price | 2014-02-18 | |
| 2014-02-13 | Pope Todd Director, Officer (President and CEO) | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +240,000 240,000 owned after | $1.60 exercise price | 2014-02-18 | |
| 2014-02-13 | Pope Todd Director, Officer (President and CEO) | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +400,000 400,000 owned after | $1.60 exercise price | 2014-02-18 | |
| 2014-02-13 | SLATTERY JOSEPH P Officer (EVP and CFO) | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +200,000 200,000 owned after | $1.60 exercise price | 2014-02-18 |