Asensus Surgical, Inc. Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 16 rows in 2017. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2017-11-02: Reporting owner Pope Todd; Form 4; Security Incentive Stock Option; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2017-10-18: Reporting owner Pope Todd; Form 4; Security Stock Option; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2017-10-18: Reporting owner Pope Todd; Form 4; Security Stock Option; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2017-10-18: Reporting owner Pope Todd; Form 4; Security Incentive 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 |
|---|---|---|---|---|---|---|---|---|
| 2017-11-02 | 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 | −80,000 282,703 owned after | $0.35 exercise price | 2017-11-02 | |
| 2017-10-18 | 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 | −95,335 0 owned after | $0.35 exercise price | 2017-10-20 | |
| 2017-10-18 | 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 | −287,356 138,555 owned after | $0.35 exercise price | 2017-10-20 | |
| 2017-10-18 | 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 | −9,351 0 owned after | $0.35 exercise price | 2017-10-20 | |
| 2017-10-18 | 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 | −140,649 362,703 owned after | $0.35 exercise price | 2017-10-20 | |
| 2017-05-25 | 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 | $0.48 exercise price | 2017-05-26 | |
| 2017-05-25 | 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 | $0.48 exercise price | 2017-05-26 | |
| 2017-05-25 | 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 | $0.48 exercise price | 2017-05-26 | |
| 2017-05-25 | 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 | $0.48 exercise price | 2017-05-26 | |
| 2017-05-25 | 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 | $0.48 exercise price | 2017-05-26 | |
| 2017-05-25 | 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 | $0.48 exercise price | 2017-05-26 | |
| 2017-05-25 | 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 | $0.48 exercise price | 2017-05-26 | |
| 2017-05-25 | 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 | $0.48 exercise price | 2017-05-26 | |
| 2017-02-02 | SLATTERY JOSEPH P Officer (EVP and CFO) | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +406,000 406,000 owned after | $1.42 exercise price | 2017-02-06 | |
| 2017-02-02 | 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) | +406,000 406,000 owned after | $1.42 exercise price | 2017-02-06 | |
| 2017-02-02 | Pope Todd Director, Officer (President and CEO) | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +710,000 710,000 owned after | $1.42 exercise price | 2017-02-06 |