Asensus Surgical, Inc. Forms 3, 4 and 5: Restricted Stock Units and Performance Rights
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 7 rows in 2016. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2016-10-02: Reporting owner SLATTERY JOSEPH P; Form 4; Security Restricted Stock Units; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2016-02-12: Reporting owner Fernando Anthony C. J.; Form 4/A; Security Restricted Stock Units; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2016-02-12: Reporting owner Fernando Anthony C. J.; Form 4; Security Restricted Stock Units; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2016-02-12: Reporting owner Pope Todd; Form 4; Security Restricted Stock Units; 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 |
|---|---|---|---|---|---|---|---|---|
| 2016-10-02 | SLATTERY JOSEPH P Officer (EVP and CFO) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +66,666 0 owned after | $0.00 | 2016-10-03 | |
| 2016-02-12 | Fernando Anthony C. J. Officer (Chief Technology Officer) | 4/A | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +73,333 73,333 owned after | $0.00 | 2016-02-16 | |
| 2016-02-12 | Fernando Anthony C. J. Officer (Chief Technology Officer) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +73,333 73,333 owned after | $0.00 | 2016-02-12 | |
| 2016-02-12 | Pope Todd Director, Officer (President and CEO) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +121,667 121,667 owned after | $0.00 | 2016-02-12 | |
| 2016-02-12 | SLATTERY JOSEPH P Officer (EVP and CFO) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +73,333 73,333 owned after | $0.00 | 2016-02-12 | |
| 2016-02-04 | Pope Todd Director, Officer (President and CEO) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −33,334 66,666 owned after | $0.00 | 2016-02-05 | |
| 2016-02-04 | SLATTERY JOSEPH P Officer (EVP and CFO) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −20,000 40,000 owned after | $0.00 | 2016-02-05 |