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: 14 rows in 2019. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2019-02-06: Reporting owner Smith Eric A; Form 4; Security Restricted Stock Units; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2019-02-06: Reporting owner Pope Todd; Form 4; Security Restricted Stock Units; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2019-02-06: Reporting owner SLATTERY JOSEPH P; Form 4; Security Restricted Stock Units; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2019-02-06: 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 |
|---|---|---|---|---|---|---|---|---|
| 2019-02-06 | 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) | +350,000 350,000 owned after | $0.00 | 2019-02-06 | |
| 2019-02-06 | 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) | +613,000 613,000 owned after | $0.00 | 2019-02-06 | |
| 2019-02-06 | 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) | +350,000 350,000 owned after | $0.00 | 2019-02-06 | |
| 2019-02-06 | 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) | +350,000 350,000 owned after | $0.00 | 2019-02-06 | |
| 2019-02-04 | 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 | −89,556 179,111 owned after | $0.00 | 2019-02-06 | |
| 2019-02-04 | 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 | −104,000 208,000 owned after | $0.00 | 2019-02-06 | |
| 2019-02-04 | 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 | −52,667 52,666 owned after | $0.00 | 2019-02-06 | |
| 2019-02-04 | 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 | −40,555 0 owned after | $0.00 | 2019-02-06 | |
| 2019-02-04 | 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 | −59,334 118,666 owned after | $0.00 | 2019-02-06 | |
| 2019-02-04 | 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 | −30,000 30,000 owned after | $0.00 | 2019-02-06 | |
| 2019-02-04 | 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 | −24,444 0 owned after | $0.00 | 2019-02-06 | |
| 2019-02-04 | 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 | −59,334 118,666 owned after | $0.00 | 2019-02-06 | |
| 2019-02-04 | 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 30,000 owned after | $0.00 | 2019-02-06 | |
| 2019-02-04 | 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 0 owned after | $0.00 | 2019-02-06 |