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 2016. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2016-10-25: Reporting owner Fernando Anthony C. J.; Form 4; Security Stock Option; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2016-10-25: Reporting owner Pope Todd; Form 4; Security Stock Option; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2016-10-25: Reporting owner SLATTERY JOSEPH P; Form 4; Security Stock Option; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2016-06-08: Reporting owner Milne David Bruce; Form 4; Security Stock Option Award; 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 |
|---|---|---|---|---|---|---|---|---|
| 2016-10-25 | Fernando Anthony C. J. Officer (Chief Technology Officer) | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +150,000 150,000 owned after | $1.53 exercise price | 2016-10-27 | |
| 2016-10-25 | Pope Todd Director, Officer (President and CEO) | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +340,000 340,000 owned after | $1.53 exercise price | 2016-10-27 | |
| 2016-10-25 | SLATTERY JOSEPH P Officer (EVP and CFO) | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +150,000 150,000 owned after | $1.53 exercise price | 2016-10-27 | |
| 2016-06-08 | Milne David Bruce Director | 4 | Stock Option Award Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,000 20,000 owned after | $1.52 exercise price | 2016-06-10 | |
| 2016-06-08 | Starling William N JR Director | 4 | Stock Option Award Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 25,000 owned after | $1.52 exercise price | 2016-06-10 | |
| 2016-06-08 | PFENNIGER RICHARD C JR Director | 4 | Stock Option Award Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 25,000 owned after | $1.52 exercise price | 2016-06-10 | |
| 2016-06-08 | LAVIOLETTE PAUL A Director | 4 | Stock Option Award Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +30,000 30,000 owned after | $1.52 exercise price | 2016-06-10 | |
| 2016-06-08 | Kherani Aftab Director | 4 | Stock Option Award Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,000 20,000 owned after | $1.52 exercise price | 2016-06-10 | |
| 2016-06-08 | KELLEY WILLAM N Director | 4 | Stock Option Award Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 25,000 owned after | $1.52 exercise price | 2016-06-10 | |
| 2016-06-08 | HSIAO JANE PH D Director | 4 | Stock Option Award Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,000 20,000 owned after | $1.52 exercise price | 2016-06-10 | |
| 2016-06-08 | Biffi Andrea Director | 4 | Stock Option Award Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,000 20,000 owned after | $1.52 exercise price | 2016-06-10 | |
| 2016-05-16 | Pope Todd Director, Officer (President and CEO) | 4 | Incentive Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −81,691 0 owned after | $0.35 exercise price | 2016-05-17 | |
| 2016-05-16 | Pope Todd Director, Officer (President and CEO) | 4 | Incentive Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −68,309 9,351 owned after | $0.35 exercise price | 2016-05-17 | |
| 2016-02-12 | SLATTERY JOSEPH P Officer (EVP and CFO) | 4/A | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +330,000 330,000 owned after | $3.82 exercise price | 2016-02-16 | |
| 2016-02-12 | Fernando Anthony C. J. Officer (Chief Technology Officer) | 4/A | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +330,000 330,000 owned after | $3.82 exercise price | 2016-02-16 | |
| 2016-02-12 | Fernando Anthony C. J. Officer (Chief Technology Officer) | 4 | Stock Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +333,000 333,000 owned after | $3.82 exercise price | 2016-02-12 | |
| 2016-02-12 | Pope Todd Director, Officer (President and CEO) | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +547,500 547,500 owned after | $3.82 exercise price | 2016-02-12 | |
| 2016-02-12 | SLATTERY JOSEPH P Officer (EVP and CFO) | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +333,000 333,000 owned after | $3.82 exercise price | 2016-02-12 | |
| 2016-01-29 holding as of filing | Fernando Anthony C. J. Officer (Chief Technology Officer) | 3 | Stock Option (right to buy) Derivative · Direct | Holding | $2.97 exercise price | 2016-01-29 | ||
| 2016-01-29 holding as of filing | Fernando Anthony C. J. Officer (Chief Technology Officer) | 3 | Stock Option (right to buy) Derivative · Direct | Holding | $2.45 exercise price | 2016-01-29 |