Asensus Surgical, Inc. Forms 3, 4 and 5: Warrants
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 23 rows, 23 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2021-01-15: Reporting owner Milne David Bruce; Form 4; Security Series C Warrant; Transaction X Exercise of in-the-money or at-the-money derivative security.
- 2020-03-10: Reporting owner Milne David Bruce; Form 4; Security Series C Warrant; Transaction P Open market or private purchase of non-derivative or derivative security.
- 2020-03-10: Reporting owner Milne David Bruce; Form 4; Security Series D Warrant; Transaction P Open market or private purchase of non-derivative or derivative security.
- 2020-02-24: Reporting owner Biffi Andrea; Form 4; Security Warrant to Purchase Common Stock; Transaction X Exercise of in-the-money or at-the-money derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2021-01-15 | Milne David Bruce Director | 4 | Series C Warrant Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −147,058 0 owned after | $0.68 exercise price | 2021-01-15 | |
| 2020-03-10 | Milne David Bruce Director | 4 | Series C Warrant Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +147,058 147,058 owned after | $0.68 exercise price | 2020-03-10 | |
| 2020-03-10 | Milne David Bruce Director | 4 | Series D Warrant Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +147,058 147,058 owned after | $0.68 exercise price | 2020-03-10 | |
| 2020-02-24 | Biffi Andrea Director | 4 | Warrant to Purchase Common Stock Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −250,000 0 owned after | $1.24 exercise price | 2020-02-25 | |
| 2018-03-22 | HSIAO JANE PH D Director | 4 | Warrants Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −400,000 0 owned after | $1.65 exercise price | 2018-03-26 | |
| 2017-10-19 | SLATTERY JOSEPH P Officer (EVP and CFO) | 4 | Series B Warrants Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −150,000 0 owned after | $1.00 exercise price | 2017-10-23 | |
| 2017-10-16 | Biffi Andrea Director | 4 | Series A Warrants Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −250,000 0 owned after | $1.00 exercise price | 2017-10-17 | |
| 2017-10-16 | SLATTERY JOSEPH P Officer (EVP and CFO) | 4 | Series A Warrants Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −200,000 0 owned after | $1.00 exercise price | 2017-10-16 | |
| 2017-05-03 | Biffi Andrea Director | 4 | Series A Warrants Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +250,000 250,000 owned after | $1.00 exercise price | 2017-05-03 | |
| 2017-05-03 | Biffi Andrea Director | 4 | Series B Warrants Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +187,500 187,500 owned after | $1.00 exercise price | 2017-05-03 | |
| 2017-05-03 | SLATTERY JOSEPH P Officer (EVP and CFO) | 4 | Series A Warrants Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +200,000 200,000 owned after | $1.00 exercise price | 2017-05-03 | |
| 2017-05-03 | SLATTERY JOSEPH P Officer (EVP and CFO) | 4 | Series B Warrants Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +150,000 150,000 owned after | $1.00 exercise price | 2017-05-03 | |
| 2013-03-22 | FROST PHILLIP MD ET AL 10% Owner | 4 | Warrants Derivative · Indirect · Frost Gamma Investments Trust | P Open market or private purchase of non-derivative or derivative security | +1,000,000 1,000,000 owned after | $0.33 exercise price | 2013-03-26 | |
| 2013-03-22 | HSIAO JANE PH D Director | 4 | Warrants Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +2,000,000 2,000,000 owned after | $0.33 exercise price | 2013-03-26 | |
| 2013-03-22 | Spragens Jeffrey G Director, Officer (President and CEO), 10% Owner | 4 | Warrants Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | −200,000 0 owned after | $0.33 exercise price | 2013-03-26 | |
| 2012-10-25 | Spragens Jeffrey G Director, Officer (President and CEO), 10% Owner | 4 | Warrants Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −20,138 0 owned after | $0.25 exercise price | 2012-10-29 | |
| 2012-10-25 | Rubin Steven D Director | 4 | Warrants Derivative · Indirect · The Frost Group, LLC | X Exercise of in-the-money or at-the-money derivative security | −785,383 0 owned after | $0.25 exercise price | 2012-10-29 | |
| 2012-10-25 | HSIAO JANE PH D Director | 4 | Warrants Derivative · Indirect · The Frost Group, LLC | X Exercise of in-the-money or at-the-money derivative security | −785,383 0 owned after | $0.25 exercise price | 2012-10-29 | |
| 2012-10-25 | FROST PHILLIP MD ET AL 10% Owner | 4 | Warrants Derivative · Indirect · The Frost Group, LLC | X Exercise of in-the-money or at-the-money derivative security | −785,383 0 owned after | $0.25 exercise price | 2012-10-29 | |
| 2007-09-06 holding as of filing | Rubin Steven D Director | 3 | Warrant to purchase Common Stock Derivative · Indirect · The Frost Group, LLC | Holding | no price filed | 2007-09-06 | ||
| 2007-09-06 holding as of filing | Spragens Jeffrey G Director, Officer (President and CEO), 10% Owner | 3 | Warrants to acquire common stock Derivative · Direct | Holding | no price filed | 2007-09-06 | ||
| 2007-09-04 | HSIAO JANE PH D Director, 10% Owner | 4 | Warrants Derivative · Indirect · The Frost Group, LLC | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +785,383 785,383 owned after | $0.00 | 2007-09-06 | |
| 2007-09-04 | FROST PHILLIP MD ET AL | Frost Gamma Investment Trust 10% Owner | 10% Owner | 4 | Warrants Derivative · Indirect · The Frost Group, LLC | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +785,383 785,383 owned after | $0.00 | 2007-09-06 |