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 2019. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2019-05-14: Reporting owner Pope Todd; Form 4; Security Stock Option; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2019-05-13: Reporting owner SLATTERY JOSEPH P; Form 4; Security Stock Option; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2019-04-25: Reporting owner Starling William N JR; Form 4; Security Stock Option Award; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2019-04-25: Reporting owner PFENNIGER RICHARD C JR; 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 |
|---|---|---|---|---|---|---|---|---|
| 2019-05-14 | 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 | −71,943 928,057 owned after | $1.39 exercise price | 2019-05-15 | |
| 2019-05-13 | 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 | −100,000 674,708 owned after | $1.39 exercise price | 2019-05-15 | |
| 2019-04-25 | Starling William N JR Director | 4 | Stock Option Award Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +29,104 29,104 owned after | $1.96 exercise price | 2019-04-26 | |
| 2019-04-25 | PFENNIGER RICHARD C JR Director | 4 | Stock Option Award Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +29,104 29,104 owned after | $1.96 exercise price | 2019-04-26 | |
| 2019-04-25 | LAVIOLETTE PAUL A Director | 4 | Stock Option Award Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +29,104 29,104 owned after | $1.96 exercise price | 2019-04-26 | |
| 2019-04-25 | LAVIOLETTE PAUL A Director | 4 | Stock Option Award Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +29,428 29,428 owned after | $1.96 exercise price | 2019-04-26 | |
| 2019-04-25 | Milne David Bruce Director | 4 | Stock Option Award Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +29,104 29,104 owned after | $1.96 exercise price | 2019-04-26 | |
| 2019-04-25 | Kherani Aftab Director | 4 | Stock Option Award Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +29,104 29,104 owned after | $1.96 exercise price | 2019-04-26 | |
| 2019-04-25 | KELLEY WILLAM N Director | 4 | Stock Option Award Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +29,104 29,104 owned after | $1.96 exercise price | 2019-04-26 | |
| 2019-04-25 | HSIAO JANE PH D Director | 4 | Stock Option Award Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +29,104 29,104 owned after | $1.96 exercise price | 2019-04-26 | |
| 2019-04-25 | Biffi Andrea Director | 4 | Stock Option Award Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +29,104 29,104 owned after | $1.96 exercise price | 2019-04-26 | |
| 2019-02-22 | 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 | −26,292 774,708 owned after | $1.39 exercise price | 2019-02-25 | |
| 2019-02-06 | Smith Eric A Officer (Chief Commercial Officer) | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +526,000 526,000 owned after | $2.47 exercise price | 2019-02-06 | |
| 2019-02-06 | Pope Todd Director, Officer (President and CEO) | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +920,000 920,000 owned after | $2.47 exercise price | 2019-02-06 | |
| 2019-02-06 | SLATTERY JOSEPH P Officer (EVP and CFO) | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +526,000 526,000 owned after | $2.47 exercise price | 2019-02-06 | |
| 2019-02-06 | 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) | +526,000 526,000 owned after | $2.47 exercise price | 2019-02-06 |