Asensus Surgical, Inc. Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 46 rows in 2018. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2018-10-31: Reporting owner Smith Eric A; Form 4; Security Stock Options; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2018-10-31: Reporting owner SLATTERY JOSEPH P; Form 4; Security Stock Options; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2018-10-31: Reporting owner Fernando Anthony C. J.; Form 4; Security Stock Options; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2018-10-02: Reporting owner SLATTERY JOSEPH P; 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 |
|---|---|---|---|---|---|---|---|---|
| 2018-10-31 | Smith Eric A Officer (Chief Commercial Officer) | 4 | Stock Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 100,000 owned after | $3.27 exercise price | 2018-11-02 | |
| 2018-10-31 | SLATTERY JOSEPH P Officer (EVP and CFO) | 4 | Stock Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +199,000 199,000 owned after | $3.27 exercise price | 2018-11-02 | |
| 2018-10-31 | Fernando Anthony C. J. Officer (Chief Operating Officer) | 4 | Stock Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +199,000 199,000 owned after | $3.27 exercise price | 2018-11-02 | |
| 2018-10-02 | SLATTERY JOSEPH P Officer (EVP and CFO) | 4 | Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −8,500 236,834 owned after | $1.42 exercise price | 2018-10-03 | |
| 2018-10-01 | SLATTERY JOSEPH P Officer (EVP and CFO) | 4 | Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −11,951 245,334 owned after | $1.42 exercise price | 2018-10-03 | |
| 2018-10-01 | SLATTERY JOSEPH P Officer (EVP and CFO) | 4 | Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −9,375 78,125 owned after | $1.53 exercise price | 2018-10-03 | |
| 2018-10-01 | SLATTERY JOSEPH P Officer (EVP and CFO) | 4 | Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,250 27,084 owned after | $2.45 exercise price | 2018-10-03 | |
| 2018-10-01 | SLATTERY JOSEPH P Officer (EVP and CFO) | 4 | Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −11,250 28,126 owned after | $2.94 exercise price | 2018-10-03 | |
| 2018-10-01 | SLATTERY JOSEPH P Officer (EVP and CFO) | 4 | Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −13,750 116,875 owned after | $3.82 exercise price | 2018-10-03 | |
| 2018-10-01 | SLATTERY JOSEPH P Officer (EVP and CFO) | 4 | Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,575 461,426 owned after | $4.02 exercise price | 2018-10-03 | |
| 2018-09-25 | SLATTERY JOSEPH P Officer (EVP and CFO) | 4 | Stock Options Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −4,924 257,285 owned after | $1.42 exercise price | 2018-09-27 | |
| 2018-08-31 | Smith Eric A Officer (Chief Commercial Officer) | 4 | Stock Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +300,000 300,000 owned after | $5.80 exercise price | 2018-09-04 | |
| 2018-07-26 | 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 | −61,172 0 owned after | $0.35 exercise price | 2018-07-30 | |
| 2018-07-25 | Starling William N JR Director | 4 | Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −25,000 0 owned after | $0.48 exercise price | 2018-07-27 | |
| 2018-07-25 | Starling William N JR Director | 4 | Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −21,625 0 owned after | $0.35 exercise price | 2018-07-27 | |
| 2018-07-19 | SLATTERY JOSEPH P Officer (EVP and CFO) | 4 | Stock Options Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −8,485 262,209 owned after | $1.42 exercise price | 2018-07-20 | |
| 2018-07-19 | SLATTERY JOSEPH P Officer (EVP and CFO) | 4 | Stock Options Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,083 33,334 owned after | $2.45 exercise price | 2018-07-20 | |
| 2018-07-19 | SLATTERY JOSEPH P Officer (EVP and CFO) | 4 | Stock Options Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,625 39,376 owned after | $2.94 exercise price | 2018-07-20 | |
| 2018-07-19 | SLATTERY JOSEPH P Officer (EVP and CFO) | 4 | Stock Options Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,875 130,625 owned after | $3.82 exercise price | 2018-07-20 | |
| 2018-07-19 | SLATTERY JOSEPH P Officer (EVP and CFO) | 4 | Stock Options Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −9,736 0 owned after | $3.94 exercise price | 2018-07-20 | |
| 2018-07-19 | SLATTERY JOSEPH P Officer (EVP and CFO) | 4 | Stock Options Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −34,999 465,001 owned after | $4.02 exercise price | 2018-07-20 | |
| 2018-06-27 | SLATTERY JOSEPH P Officer (EVP and CFO) | 4 | Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −184,035 137,500 owned after | $3.82 exercise price | 2018-06-27 | |
| 2018-06-27 | SLATTERY JOSEPH P Officer (EVP and CFO) | 4 | Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −16,164 9,736 owned after | $3.94 exercise price | 2018-06-27 | |
| 2018-06-26 | SLATTERY JOSEPH P Officer (EVP and CFO) | 4 | Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −93,616 45,001 owned after | $2.94 exercise price | 2018-06-27 | |
| 2018-06-26 | SLATTERY JOSEPH P Officer (EVP and CFO) | 4 | Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −8,465 321,535 owned after | $3.82 exercise price | 2018-06-27 | |
| 2018-06-26 | 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 | −160,086 61,172 owned after | $0.35 exercise price | 2018-06-27 | |
| 2018-06-25 | SLATTERY JOSEPH P Officer (EVP and CFO) | 4 | Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −37,875 87,500 owned after | $1.53 exercise price | 2018-06-27 | |
| 2018-06-25 | SLATTERY JOSEPH P Officer (EVP and CFO) | 4 | Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −64,583 35,417 owned after | $2.45 exercise price | 2018-06-27 | |
| 2018-06-25 | SLATTERY JOSEPH P Officer (EVP and CFO) | 4 | Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −131,383 138,617 owned after | $2.94 exercise price | 2018-06-27 | |
| 2018-06-25 | 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 | −138,555 0 owned after | $0.35 exercise price | 2018-06-27 | |
| 2018-06-25 | 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 | −61,445 221,258 owned after | $0.35 exercise price | 2018-06-27 | |
| 2018-06-19 | SLATTERY JOSEPH P Officer (EVP and CFO) | 4 | Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −15,000 125,375 owned after | $1.53 exercise price | 2018-06-20 | |
| 2018-06-18 | SLATTERY JOSEPH P Officer (EVP and CFO) | 4 | Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −135,333 270,667 owned after | $1.42 exercise price | 2018-06-20 | |
| 2018-06-18 | SLATTERY JOSEPH P Officer (EVP and CFO) | 4 | Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −9,625 140,375 owned after | $1.53 exercise price | 2018-06-20 | |
| 2018-05-24 | Starling William N JR Director | 4 | Stock Option Award Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +35,592 35,592 owned after | $3.17 exercise price | 2018-05-29 | |
| 2018-05-24 | PFENNIGER RICHARD C JR Director | 4 | Stock Option Award Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +35,592 35,592 owned after | $3.17 exercise price | 2018-05-29 | |
| 2018-05-24 | Kherani Aftab Director | 4 | Stock Option Award Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +35,592 35,592 owned after | $3.17 exercise price | 2018-05-29 | |
| 2018-05-24 | KELLEY WILLAM N Director | 4 | Stock Option Award Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +35,592 35,592 owned after | $3.17 exercise price | 2018-05-29 | |
| 2018-05-24 | LAVIOLETTE PAUL A Director | 4 | Stock Option Award Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +71,580 71,580 owned after | $3.17 exercise price | 2018-05-29 | |
| 2018-05-24 | HSIAO JANE PH D Director | 4 | Stock Option Award Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +35,592 35,592 owned after | $3.17 exercise price | 2018-05-29 | |
| 2018-05-24 | Milne David Bruce Director | 4 | Stock Option Award Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +35,592 35,592 owned after | $3.17 exercise price | 2018-05-29 | |
| 2018-05-24 | Biffi Andrea Director | 4 | Stock Option Award Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +35,592 35,592 owned after | $3.17 exercise price | 2018-05-29 | |
| 2018-02-15 | Pope Todd Director, Officer (President and CEO) | 4 | Stock Options Derivative · Direct | J Other acquisition or disposition (describe transaction) | −403,000 1,000,000 owned after | $0.00 | 2018-02-16 | |
| 2018-02-07 | Fernando Anthony C. J. Officer (Chief Operating Officer) | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +801,000 801,000 owned after | $1.39 exercise price | 2018-02-07 | |
| 2018-02-07 | Pope Todd Director, Officer (President and CEO) | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,403,000 1,403,000 owned after | $1.39 exercise price | 2018-02-07 | |
| 2018-02-07 | SLATTERY JOSEPH P Officer (EVP and CFO) | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +801,000 801,000 owned after | $1.39 exercise price | 2018-02-07 |