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: 11 rows in 2017. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2017-07-03: 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).
- 2017-07-03: Reporting owner Pope Todd; Form 4; Security Restricted Stock Units; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2017-07-03: Reporting owner SLATTERY JOSEPH P; Form 4; Security Restricted Stock Units; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2017-02-04: 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.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2017-07-03 | Fernando Anthony C. J. Officer (Chief Operating Officer) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +600,000 600,000 owned after | $0.00 | 2017-07-06 | |
| 2017-07-03 | 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) | +1,500,000 1,500,000 owned after | $0.00 | 2017-07-06 | |
| 2017-07-03 | 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) | +500,000 500,000 owned after | $0.00 | 2017-07-06 | |
| 2017-02-04 | 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 | −24,445 48,888 owned after | $0.00 | 2017-02-06 | |
| 2017-02-04 | 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 20,000 owned after | $0.00 | 2017-02-06 | |
| 2017-02-04 | Fernando Anthony C. J. Officer (Chief Technology Officer) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −24,445 48,888 owned after | $0.00 | 2017-02-06 | |
| 2017-02-04 | 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 | −40,556 81,111 owned after | $0.00 | 2017-02-06 | |
| 2017-02-04 | 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 | −33,333 33,333 owned after | $0.00 | 2017-02-06 | |
| 2017-02-02 | 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) | +90,000 90,000 owned after | $0.00 | 2017-02-06 | |
| 2017-02-02 | 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) | +90,000 90,000 owned after | $0.00 | 2017-02-06 | |
| 2017-02-02 | 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) | +158,000 158,000 owned after | $0.00 | 2017-02-06 |