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: 19 rows in 2020. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2020-08-24: Reporting owner Shameze Rampertab; Form 4; Security Restricted Stock Unit; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2020-08-24: Reporting owner Shameze Rampertab; Form 4; Security Restricted Stock Unit; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2020-07-03: Reporting owner Fernando Anthony C. J.; Form 4; Security Restricted Stock Units; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2020-07-03: Reporting owner Fernando Anthony C. J.; 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 |
|---|---|---|---|---|---|---|---|---|
| 2020-08-24 | Shameze Rampertab Officer (EVP, Chief Financial Officer) | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +30,000 30,000 owned after | $0.00 | 2020-08-25 | |
| 2020-08-24 | Shameze Rampertab Officer (EVP, Chief Financial Officer) | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,000 20,000 owned after | $0.00 | 2020-08-25 | |
| 2020-07-03 | Fernando Anthony C. J. Director, Officer (President and CEO) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −15,385 0 owned after | $0.00 | 2020-07-07 | |
| 2020-07-03 | Fernando Anthony C. J. Director, Officer (President and CEO) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,564 2,565 owned after | $0.00 | 2020-07-07 | |
| 2020-06-30 | Farabaugh Brett Officer (Interim CFO) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −30,000 0 owned after | $0.00 | 2020-07-01 | |
| 2020-06-08 | Fernando Anthony C. J. Director, Officer (President and CEO) | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +160,000 160,000 owned after | $0.00 | 2020-06-10 | |
| 2020-06-08 | Fernando Anthony C. J. Director, Officer (President and CEO) | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +240,000 240,000 owned after | $0.00 | 2020-06-10 | |
| 2020-06-08 | Fernando Anthony C. J. Director, Officer (President and CEO) | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +550,000 550,000 owned after | $0.00 | 2020-06-10 | |
| 2020-06-08 | Farabaugh Brett Officer (Interim CFO) | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +64,000 64,000 owned after | $0.00 | 2020-06-10 | |
| 2020-06-08 | Farabaugh Brett Officer (Interim CFO) | 4 | Restricted Stock Unit Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +16,000 16,000 owned after | $0.00 | 2020-06-10 | |
| 2020-02-04 | Fernando Anthony C. J. Director, Officer (President and CEO) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −8,975 17,949 owned after | $0.00 | 2020-02-06 | |
| 2020-02-04 | Fernando Anthony C. J. Director, Officer (President and CEO) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −4,564 4,565 owned after | $0.00 | 2020-02-06 | |
| 2020-02-04 | Fernando Anthony C. J. Director, Officer (President and CEO) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,308 0 owned after | $0.00 | 2020-02-06 | |
| 2020-02-04 | Fernando Anthony C. J. Director, Officer (President and CEO) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,564 5,129 owned after | $0.00 | 2020-02-06 | |
| 2020-02-04 | Fernando Anthony C. J. Director, Officer (President and CEO) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −15,384 15,385 owned after | $0.00 | 2020-02-06 | |
| 2020-02-04 | 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) | −8,975 17,949 owned after | $0.00 | 2020-02-06 | |
| 2020-02-04 | 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) | −1,282 2,565 owned after | $0.00 | 2020-02-06 | |
| 2020-02-04 | 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) | −2,564 5,129 owned after | $0.00 | 2020-02-06 | |
| 2020-01-02 | Farabaugh Brett Officer (Interim CFO) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +30,000 30,000 owned after | $0.00 | 2020-01-06 |