Form Type: 4

SEC EDGAR Link
Accession Number:0001209191-21-045186
Date:2021-06-30
Issuer: ASENSUS SURGICAL, INC. (ASXC)
Original Submission Date:

Reporting Person:

STARLING WILLIAM N JR
345 GOLDEN HILLS DRIVE
PORTOLA VALLEY, CA 94028

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK 2021-07-01 A 13,846 a $0.00 40,856 direct
COMMON STOCK 2021-06-30 0 $0.00 18,134 indirect f3
COMMON STOCK 2021-06-30 0 $0.00 22,849 indirect f4
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
STOCK OPTION 3.17 2021-06-30 deemed execution date A 4,310 (a) 2021-12-31 2028-06-30 common stock 4,310 $3.17 4,310 direct
Footnotes
IDfootnote
f1 represents restricted stock units ("rsus"). each rsu represents the right to receive one share of the registrant's common stock.
f2 forfeiture restrictions will lapse on the rsus on the first anniversary of the date of grant, provided that if the date of the 2022 annual meeting of stockholders is earlier, the restrictions will lapse on the date of the annual meeting.
f3 shares of common stock held by synecor, l.l.c. the reporting person is the chief executive officer of synecor, l.l.c. the reporting person disclaims beneficial ownership except to the extent of his pecuniary interest therein.
f4 shares of common stock held by w. starling and d. starling, trustees of the starling family trust, udt august 15, 1990.
f5 represents an equity award issued under the registrant's amended and restated incentive compensation plan in lieu of an annual cash retainer, paid quarterly in arrears for the quarter ended june 30, 2021.
f6 the award is fully exercisable six months after the grant date, subject to earlier acceleration as approved by the board of directors.
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