Accession Number: | 0001209191-21-045186 |
Date: | 2021-06-30 |
Issuer: | ASENSUS SURGICAL, INC. (ASXC) |
Original Submission Date: |
STARLING WILLIAM N JR
345 GOLDEN HILLS DRIVE
PORTOLA VALLEY, CA 94028
Title of Security | Transaction Date | 2a. Deemed Execution Date | Transaction Code | Shares | Acquired or Disposed | Price per share | 5. Amount of Securities Beneficially Owned Following Reported Transaction | 6. Ownership Form Direct or Indirect | Nature 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 |
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 Exercisable | Expiration 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 |
ID | footnote |
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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. |