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, 9 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 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.
- 2017-05-03: Reporting owner Biffi Andrea; Form 4; Security Series A Warrants; Transaction P Open market or private purchase of non-derivative or derivative security.
- 2017-05-03: Reporting owner Biffi Andrea; Form 4; Security Series B Warrants; Transaction P Open market or private purchase of non-derivative or derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 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 | |
| 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 |