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: 20 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 Restricted Stock Units; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2018-10-31: Reporting owner Pope Todd; Form 4; Security Restricted Stock Units; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2018-10-31: Reporting owner SLATTERY JOSEPH P; Form 4; Security Restricted Stock Units; 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 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 |
|---|---|---|---|---|---|---|---|---|
| 2018-10-31 | Smith Eric A Officer (Chief Commercial Officer) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 50,000 owned after | $0.00 | 2018-11-02 | |
| 2018-10-31 | 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) | +300,000 300,000 owned after | $0.00 | 2018-11-02 | |
| 2018-10-31 | 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) | +100,000 100,000 owned after | $0.00 | 2018-11-02 | |
| 2018-10-31 | 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) | +100,000 100,000 owned after | $0.00 | 2018-11-02 | |
| 2018-08-31 | Smith Eric A Officer (Chief Commercial Officer) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 100,000 owned after | $0.00 | 2018-09-04 | |
| 2018-07-03 | 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 | −166,667 333,333 owned after | $0.00 | 2018-07-06 | |
| 2018-07-03 | 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 | −500,000 1,000,000 owned after | $0.00 | 2018-07-06 | |
| 2018-02-15 | 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) | +268,667 268,667 owned after | $0.00 | 2018-02-16 | |
| 2018-02-07 | 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) | +178,000 178,000 owned after | $0.00 | 2018-02-07 | |
| 2018-02-07 | 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) | +312,000 312,000 owned after | $0.00 | 2018-02-07 | |
| 2018-02-07 | 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) | +178,000 178,000 owned after | $0.00 | 2018-02-07 | |
| 2018-02-05 | Fernando Anthony C. J. Officer (Chief Operating Officer) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −200,000 400,000 owned after | $0.00 | 2018-07-06 | |
| 2018-02-05 | Fernando Anthony C. J. Officer (Chief Operating Officer) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −24,444 24,444 owned after | $0.00 | 2018-02-07 | |
| 2018-02-05 | Fernando Anthony C. J. Officer (Chief Operating Officer) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −30,000 60,000 owned after | $0.00 | 2018-02-07 | |
| 2018-02-05 | 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 40,555 owned after | $0.00 | 2018-02-07 | |
| 2018-02-05 | 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 0 owned after | $0.00 | 2018-02-07 | |
| 2018-02-05 | 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 | −52,667 105,333 owned after | $0.00 | 2018-02-07 | |
| 2018-02-05 | 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 | −24,444 24,444 owned after | $0.00 | 2018-02-07 | |
| 2018-02-05 | 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 0 owned after | $0.00 | 2018-02-07 | |
| 2018-02-05 | 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 | −30,000 60,000 owned after | $0.00 | 2018-02-07 |