Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| ASENSUS SURGICAL, INC.TRXC · Entity 88098 | EVP and CFO | May 13, 2019 | May 15, 2019 |
| CVRx, Inc.CVRX · Entity 6920 | Director | June 01, 2026 | June 03, 2026 |
| ImageneBio, Inc.IMA · Entity 7139 | Director | June 16, 2026 | June 18, 2026 |
| Omega Alpha SPACOMEG · Entity 143846 | Director | January 06, 2021 | January 06, 2021 |
| Replimune Group, Inc.REPL · Entity 4707 | Director | April 01, 2026 | April 08, 2026 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
ASENSUS SURGICAL, INC.
Report date May 13, 2019 · Filed May 15, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 100,000 |
Reported balance
After 2019-05-13 transaction · row 1
1 source rowRow 1 · 2019-05-13 · Exercise / conversion · Acquired 100,000 · Balance 100,000 |
| Stock OptionSEC Table II · derivative / convertible security · Conversion / exercise price $1.39 · Expires 2028-02-07 | Direct | 674,708 |
Reported balance
After 2019-05-13 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2019-05-13 · Exercise / conversion · Disposed 100,000 · Balance 674,708 |
| Common StockSEC Table I · non-derivative | IndirectBy IRA | 25,000 |
Reported balance
Holding disclosure · report date 2019-05-13 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 25,000 |
CVRx, Inc.
Report date June 01, 2026 · Filed June 03, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 39,365 |
Reported balance
After 2026-06-01 transaction · row 1
1 source rowRow 1 · 2026-06-01 · Grant · Acquired 8,720 · Balance 39,365 F1: Vests on the earlier of June 1, 2027 or the Issuer's 2027 annual meeting of stockholders. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $5.43 · Expires 2036-06-01 | Direct | 11,182 |
Reported balance
After 2026-06-01 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2026-06-01 · Grant · Acquired 11,182 · Balance 11,182 F1: Vests on the earlier of June 1, 2027 or the Issuer's 2027 annual meeting of stockholders. |
Filing footnotes · ownership attribution and instrument terms
F1: Vests on the earlier of June 1, 2027 or the Issuer's 2027 annual meeting of stockholders.
ImageneBio, Inc.
Report date June 16, 2026 · Filed June 18, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $5.45 · Expires 2036-06-16 | Direct | 15,600 |
Reported balance
After 2026-06-16 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2026-06-16 · Grant · Acquired 15,600 · Balance 15,600 F1: The shares vest in full upon the earlier to occur of the first anniversary of the date of grant, the date of the Issuer's next annual meeting or a change of control as defined in the Issuer's 2025 Equity Incentive Plan. |
Filing footnotes · ownership attribution and instrument terms
F1: The shares vest in full upon the earlier to occur of the first anniversary of the date of grant, the date of the Issuer's next annual meeting or a change of control as defined in the Issuer's 2025 Equity Incentive Plan.
Omega Alpha SPAC
Report date January 06, 2021 · Filed January 06, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class B Ordinary SharesSEC Table I · non-derivative | Direct | 35,000 |
Reported balance
Holding disclosure · report date 2021-01-06 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 35,000 F1: The Class B Ordinary Shares entitle the holder to one vote for each share held on all matters to be voted on by shareholders and will automatically convert into shares of Class A Ordinary Shares at the time of the Issuer's initial business combination on a one-for-one basis, subject to adjustment, as described in the Issuer's registration statement on Form S-1 (File No. 333-251551). Class B Ordinary Shares have no expiration date. |
Filing footnotes · ownership attribution and instrument terms
F1: The Class B Ordinary Shares entitle the holder to one vote for each share held on all matters to be voted on by shareholders and will automatically convert into shares of Class A Ordinary Shares at the time of the Issuer's initial business combination on a one-for-one basis, subject to adjustment, as described in the Issuer's registration statement on Form S-1 (File No. 333-251551). Class B Ordinary Shares have no expiration date.
Replimune Group, Inc.
Report date April 01, 2026 · Filed April 08, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $7.61 · Expires 2036-04-01 | Direct | 44,500 |
Reported balance
After 2026-04-01 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2026-04-01 · Grant · Acquired 44,500 · Balance 44,500 F1: The shares underlying this option vest entirely on April 1, 2027. |
Filing footnotes · ownership attribution and instrument terms
F1: The shares underlying this option vest entirely on April 1, 2027.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Morphic Holding, Inc.
Report date August 16, 2024 · Filed August 20, 2024
Section 16 reporting ended · disclosed 2024-08-20. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2024-08-16 transaction · row 1
1 source rowRow 1 · 2024-08-16 · Disposition to issuer · Disposed 9,066 · Balance 0 F1: On July 7, 2024, Morphic Holding, Inc., a Delaware corporation (the "Issuer" or the "Company"), entered into an Agreement and Plan of Merger (the "Merger Agreement") with Eli Lilly and Company, an Indiana corporation (the "Parent"), and Rainier Acquisition Corporation, a Delaware corporation and a wholly owned subsidiary of the Parent ("Merger Sub"). Pursuant to the Merger Agreement, the Merger Sub merged with and into the Company (the "Merger") with the Company surviving the Merger as a wholly owned subsidiary of the Parent. F2: (Continued from Footnote 1) Upon the closing (the "Closing") of the Merger on August 16, 2024, each share of the Company's Common Stock, par value $0.0001 per share ("Common Stock"), was either (x) purchased by Purchaser for $57.00 per share (the "Offer Price"), without interest, less any applicable tax withholding or (y) automatically converted into the right to receive the Offer Price in cash without interest, less any applicable tax withholding. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $15.00 · Expires 2029-06-26 | Direct | 0 |
Reported balance
After 2024-08-16 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2024-08-16 · Disposition to issuer · Disposed 24,000 · Balance 0 F4: Pursuant to the Merger Agreement, each Option that was outstanding but not vested as of immediately prior to the Closing (the "Unvested Option") became fully vested and exercisable (the "Vested Option"). Each Vested Option was automatically cancelled and converted into the right to receive an amount in cash without interest, less any applicable tax withholding, equal to the product obtained by multiplying (i) the excess, if any, of the Offer Price over the exercise price per share of Common Stock underlying such Option by (ii) the number of shares of Common Stock underlying such Option. If the exercise price per share of Common Stock of the underlying Option was equal to or greater than the Offer Price, such Option was cancelled without any cash payment or other consideration being made in respect thereof. F3: The Company Stock Option ("Option") is fully vested. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $22.96 · Expires 2030-06-18 | Direct | 0 |
Reported balance
After 2024-08-16 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2024-08-16 · Disposition to issuer · Disposed 12,000 · Balance 0 F4: Pursuant to the Merger Agreement, each Option that was outstanding but not vested as of immediately prior to the Closing (the "Unvested Option") became fully vested and exercisable (the "Vested Option"). Each Vested Option was automatically cancelled and converted into the right to receive an amount in cash without interest, less any applicable tax withholding, equal to the product obtained by multiplying (i) the excess, if any, of the Offer Price over the exercise price per share of Common Stock underlying such Option by (ii) the number of shares of Common Stock underlying such Option. If the exercise price per share of Common Stock of the underlying Option was equal to or greater than the Offer Price, such Option was cancelled without any cash payment or other consideration being made in respect thereof. F3: The Company Stock Option ("Option") is fully vested. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $64.79 · Expires 2031-06-16 | Direct | 0 |
Reported balance
After 2024-08-16 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2024-08-16 · Disposition to issuer · Disposed 9,615 · Balance 0 F4: Pursuant to the Merger Agreement, each Option that was outstanding but not vested as of immediately prior to the Closing (the "Unvested Option") became fully vested and exercisable (the "Vested Option"). Each Vested Option was automatically cancelled and converted into the right to receive an amount in cash without interest, less any applicable tax withholding, equal to the product obtained by multiplying (i) the excess, if any, of the Offer Price over the exercise price per share of Common Stock underlying such Option by (ii) the number of shares of Common Stock underlying such Option. If the exercise price per share of Common Stock of the underlying Option was equal to or greater than the Offer Price, such Option was cancelled without any cash payment or other consideration being made in respect thereof. F3: The Company Stock Option ("Option") is fully vested. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $24.49 · Expires 2032-06-08 | Direct | 0 |
Reported balance
After 2024-08-16 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2024-08-16 · Disposition to issuer · Disposed 17,550 · Balance 0 F4: Pursuant to the Merger Agreement, each Option that was outstanding but not vested as of immediately prior to the Closing (the "Unvested Option") became fully vested and exercisable (the "Vested Option"). Each Vested Option was automatically cancelled and converted into the right to receive an amount in cash without interest, less any applicable tax withholding, equal to the product obtained by multiplying (i) the excess, if any, of the Offer Price over the exercise price per share of Common Stock underlying such Option by (ii) the number of shares of Common Stock underlying such Option. If the exercise price per share of Common Stock of the underlying Option was equal to or greater than the Offer Price, such Option was cancelled without any cash payment or other consideration being made in respect thereof. F3: The Company Stock Option ("Option") is fully vested. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $56.47 · Expires 2033-05-31 | Direct | 0 |
Reported balance
After 2024-08-16 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2024-08-16 · Disposition to issuer · Disposed 12,535 · Balance 0 F4: Pursuant to the Merger Agreement, each Option that was outstanding but not vested as of immediately prior to the Closing (the "Unvested Option") became fully vested and exercisable (the "Vested Option"). Each Vested Option was automatically cancelled and converted into the right to receive an amount in cash without interest, less any applicable tax withholding, equal to the product obtained by multiplying (i) the excess, if any, of the Offer Price over the exercise price per share of Common Stock underlying such Option by (ii) the number of shares of Common Stock underlying such Option. If the exercise price per share of Common Stock of the underlying Option was equal to or greater than the Offer Price, such Option was cancelled without any cash payment or other consideration being made in respect thereof. F3: The Company Stock Option ("Option") is fully vested. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $30.52 · Expires 2034-06-03 | Direct | 0 |
Reported balance
After 2024-08-16 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2024-08-16 · Disposition to issuer · Disposed 23,168 · Balance 0 F4: Pursuant to the Merger Agreement, each Option that was outstanding but not vested as of immediately prior to the Closing (the "Unvested Option") became fully vested and exercisable (the "Vested Option"). Each Vested Option was automatically cancelled and converted into the right to receive an amount in cash without interest, less any applicable tax withholding, equal to the product obtained by multiplying (i) the excess, if any, of the Offer Price over the exercise price per share of Common Stock underlying such Option by (ii) the number of shares of Common Stock underlying such Option. If the exercise price per share of Common Stock of the underlying Option was equal to or greater than the Offer Price, such Option was cancelled without any cash payment or other consideration being made in respect thereof. F5: The Option will vest in full on the earlier of (a) June 04, 2025 and (b) the next annual meeting of the issuer's stockholders, subject to the reporting person's provision of service to the issuer on the vesting date. |
Filing footnotes · ownership attribution and instrument terms
F1: On July 7, 2024, Morphic Holding, Inc., a Delaware corporation (the "Issuer" or the "Company"), entered into an Agreement and Plan of Merger (the "Merger Agreement") with Eli Lilly and Company, an Indiana corporation (the "Parent"), and Rainier Acquisition Corporation, a Delaware corporation and a wholly owned subsidiary of the Parent ("Merger Sub"). Pursuant to the Merger Agreement, the Merger Sub merged with and into the Company (the "Merger") with the Company surviving the Merger as a wholly owned subsidiary of the Parent.
F2: (Continued from Footnote 1) Upon the closing (the "Closing") of the Merger on August 16, 2024, each share of the Company's Common Stock, par value $0.0001 per share ("Common Stock"), was either (x) purchased by Purchaser for $57.00 per share (the "Offer Price"), without interest, less any applicable tax withholding or (y) automatically converted into the right to receive the Offer Price in cash without interest, less any applicable tax withholding.
F3: The Company Stock Option ("Option") is fully vested.
F4: Pursuant to the Merger Agreement, each Option that was outstanding but not vested as of immediately prior to the Closing (the "Unvested Option") became fully vested and exercisable (the "Vested Option"). Each Vested Option was automatically cancelled and converted into the right to receive an amount in cash without interest, less any applicable tax withholding, equal to the product obtained by multiplying (i) the excess, if any, of the Offer Price over the exercise price per share of Common Stock underlying such Option by (ii) the number of shares of Common Stock underlying such Option. If the exercise price per share of Common Stock of the underlying Option was equal to or greater than the Offer Price, such Option was cancelled without any cash payment or other consideration being made in respect thereof.
F5: The Option will vest in full on the earlier of (a) June 04, 2025 and (b) the next annual meeting of the issuer's stockholders, subject to the reporting person's provision of service to the issuer on the vesting date.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| October 01, 2018 Filed Oct 3, 2018 20:00 UTC | ASENSUS SURGICAL, INC. TRXC · Entity 88098 | SaleCommon Stock | 56,151 | $5.73 | $321,745.23 |
DisclosureSEC source: 0001209191-18-054150 · doc4.xml · nonDerivative · entry 7 SLATTERY JOSEPH P · CIK 0001246530 · EVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · security: The transaction occurred pursuant to a written trading plan dated November 29, 2017 meeting the requirements of Rule 10b5-1(c). F2 · price: The sale price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $5.64 to $5.805 inclusive. The reporting person undertakes to provide to TransEnterix, Inc., any security holder of TransEnterix, Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote to this Form 4. Read SEC document |
| October 01, 2018 Filed Oct 3, 2018 20:00 UTC | ASENSUS SURGICAL, INC. TRXC · Entity 88098 | Exercise / conversionCommon Stock | 3,575 | $4.02 | $14,371.50 |
DisclosureSEC source: 0001209191-18-054150 · doc4.xml · nonDerivative · entry 6 SLATTERY JOSEPH P · CIK 0001246530 · EVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 56,151 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: The transaction occurred pursuant to a written trading plan dated November 29, 2017 meeting the requirements of Rule 10b5-1(c). Read SEC document |
| October 01, 2018 Filed Oct 3, 2018 20:00 UTC | ASENSUS SURGICAL, INC. TRXC · Entity 88098 | Exercise / conversionCommon Stock | 13,750 | $3.82 | $52,525.00 |
DisclosureSEC source: 0001209191-18-054150 · doc4.xml · nonDerivative · entry 5 SLATTERY JOSEPH P · CIK 0001246530 · EVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 52,576 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: The transaction occurred pursuant to a written trading plan dated November 29, 2017 meeting the requirements of Rule 10b5-1(c). Read SEC document |
| October 01, 2018 Filed Oct 3, 2018 20:00 UTC | ASENSUS SURGICAL, INC. TRXC · Entity 88098 | Exercise / conversionCommon Stock | 11,250 | $2.94 | $33,075.00 |
DisclosureSEC source: 0001209191-18-054150 · doc4.xml · nonDerivative · entry 4 SLATTERY JOSEPH P · CIK 0001246530 · EVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,826 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: The transaction occurred pursuant to a written trading plan dated November 29, 2017 meeting the requirements of Rule 10b5-1(c). Read SEC document |
| October 01, 2018 Filed Oct 3, 2018 20:00 UTC | ASENSUS SURGICAL, INC. TRXC · Entity 88098 | Exercise / conversionCommon Stock | 6,250 | $2.45 | $15,312.50 |
DisclosureSEC source: 0001209191-18-054150 · doc4.xml · nonDerivative · entry 3 SLATTERY JOSEPH P · CIK 0001246530 · EVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,576 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: The transaction occurred pursuant to a written trading plan dated November 29, 2017 meeting the requirements of Rule 10b5-1(c). Read SEC document |
| October 01, 2018 Filed Oct 3, 2018 20:00 UTC | ASENSUS SURGICAL, INC. TRXC · Entity 88098 | Exercise / conversionCommon Stock | 9,375 | $1.53 | $14,343.75 |
DisclosureSEC source: 0001209191-18-054150 · doc4.xml · nonDerivative · entry 2 SLATTERY JOSEPH P · CIK 0001246530 · EVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,326 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: The transaction occurred pursuant to a written trading plan dated November 29, 2017 meeting the requirements of Rule 10b5-1(c). Read SEC document |
| October 01, 2018 Filed Oct 3, 2018 20:00 UTC | ASENSUS SURGICAL, INC. TRXC · Entity 88098 | Exercise / conversionCommon Stock | 11,951 | $1.42 | $16,970.42 |
DisclosureSEC source: 0001209191-18-054150 · doc4.xml · nonDerivative · entry 1 SLATTERY JOSEPH P · CIK 0001246530 · EVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,951 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: The transaction occurred pursuant to a written trading plan dated November 29, 2017 meeting the requirements of Rule 10b5-1(c). Read SEC document |
| September 25, 2018 Filed Sep 27, 2018 20:00 UTC | ASENSUS SURGICAL, INC. TRXC · Entity 88098 | Exercise / conversionStock Options · Derivative | 4,924 | $0.00 Strike: $1.42 | $0.00 |
DisclosureSEC source: 0001209191-18-052511 · doc4.xml · derivative · entry 4 SLATTERY JOSEPH P · CIK 0001246530 · EVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 257,285 Underlying: Common Stock · 4,924 shares Expires 2027-02-02 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: The transaction occurred pursuant to a written trading plan dated November 29, 2017 meeting the requirements of Rule 10b5-1(c). F4 · derivative.exercise_date: Vests 25% on the first anniversary of the date of grant and 1/48th of the entire award monthly on the vesting date anniversary for 36 months, subject to acceleration as set forth in the Incentive Plan. Read SEC document |
| September 25, 2018 Filed Sep 27, 2018 20:00 UTC | ASENSUS SURGICAL, INC. TRXC · Entity 88098 | SaleCommon Stock | 4,924 | $7.03 | $34,615.72 |
DisclosureSEC source: 0001209191-18-052511 · doc4.xml · nonDerivative · entry 2 SLATTERY JOSEPH P · CIK 0001246530 · EVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · security: The transaction occurred pursuant to a written trading plan dated November 29, 2017 meeting the requirements of Rule 10b5-1(c). F2 · price: The sale price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $7.00 to $7.06 inclusive. The reporting person undertakes to provide to TransEnterix, Inc., any security holder of TransEnterix, Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote to this Form 4. Read SEC document |
| September 25, 2018 Filed Sep 27, 2018 20:00 UTC | ASENSUS SURGICAL, INC. TRXC · Entity 88098 | Exercise / conversionCommon Stock | 4,924 | $1.42 | $6,992.08 |
DisclosureSEC source: 0001209191-18-052511 · doc4.xml · nonDerivative · entry 1 SLATTERY JOSEPH P · CIK 0001246530 · EVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,924 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: The transaction occurred pursuant to a written trading plan dated November 29, 2017 meeting the requirements of Rule 10b5-1(c). Read SEC document |
| July 24, 2018 Filed Jul 26, 2018 21:16 UTC | Replimune Group, Inc. REPL · Entity 4707 | GrantStock Option (right to buy) · Derivative | 13,500 | $0.00 Strike: $15.00 | $0.00 |
DisclosureSEC source: 0001104659-18-047446 · a4.xml · derivative · entry 2 SLATTERY JOSEPH P · CIK 0001246530 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,500 Underlying: Common Stock · 13,500 shares Expires 2028-07-19 F1 · derivative.exercise_date: This option was granted on July 19, 2018 subject to the completion of the Issuer's initial public offering, which closed on July 24, 2018. 25% of the shares underlying this stock option vest on July 19, 2019 and the remainder of the shares underlying this stock option vest in 24 equal monthly installments thereafter. Read SEC document |
| July 24, 2018 Filed Jul 26, 2018 21:16 UTC | Replimune Group, Inc. REPL · Entity 4707 | PurchaseCommon Stock | 6,667 | $15.00 | $100,005.00 |
DisclosureSEC source: 0001104659-18-047446 · a4.xml · nonDerivative · entry 1 SLATTERY JOSEPH P · CIK 0001246530 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,667 Read SEC document |
| July 19, 2018 Filed Jul 20, 2018 20:00 UTC | ASENSUS SURGICAL, INC. TRXC · Entity 88098 | Exercise / conversionStock Options · Derivative | 34,999 | $0.00 Strike: $4.02 | $0.00 |
DisclosureSEC source: 0001209191-18-043567 · doc4.xml · derivative · entry 15 SLATTERY JOSEPH P · CIK 0001246530 · EVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 465,001 Underlying: Common Stock · 34,999 shares Expires 2024-04-21 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: The transaction occurred pursuant to a written trading plan dated November 29, 2017 meeting the requirements of Rule 10b5-1(c). F6 · derivative.exercise_date: Previously vested. Read SEC document |
| July 19, 2018 Filed Jul 20, 2018 20:00 UTC | ASENSUS SURGICAL, INC. TRXC · Entity 88098 | Exercise / conversionStock Options · Derivative | 9,736 | $0.00 Strike: $3.94 | $0.00 |
DisclosureSEC source: 0001209191-18-043567 · doc4.xml · derivative · entry 14 SLATTERY JOSEPH P · CIK 0001246530 · EVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 9,736 shares Expires 2024-05-27 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: The transaction occurred pursuant to a written trading plan dated November 29, 2017 meeting the requirements of Rule 10b5-1(c). F6 · derivative.exercise_date: Previously vested. Read SEC document |
| July 19, 2018 Filed Jul 20, 2018 20:00 UTC | ASENSUS SURGICAL, INC. TRXC · Entity 88098 | Exercise / conversionStock Options · Derivative | 6,875 | $0.00 Strike: $3.82 | $0.00 |
DisclosureSEC source: 0001209191-18-043567 · doc4.xml · derivative · entry 13 SLATTERY JOSEPH P · CIK 0001246530 · EVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 130,625 Underlying: Common Stock · 6,875 shares Expires 2026-02-12 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: The transaction occurred pursuant to a written trading plan dated November 29, 2017 meeting the requirements of Rule 10b5-1(c). F5 · derivative.exercise_date: Vests 25% on the first anniversary of the date of grant and 1/48th of the entire award monthly on the vesting date anniversary for 36 months, subject to acceleration as set forth in the Incentive Plan. Read SEC document |
| July 19, 2018 Filed Jul 20, 2018 20:00 UTC | ASENSUS SURGICAL, INC. TRXC · Entity 88098 | Exercise / conversionStock Options · Derivative | 5,625 | $0.00 Strike: $2.94 | $0.00 |
DisclosureSEC source: 0001209191-18-043567 · doc4.xml · derivative · entry 12 SLATTERY JOSEPH P · CIK 0001246530 · EVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,376 Underlying: Common Stock · 5,625 shares Expires 2025-02-04 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: The transaction occurred pursuant to a written trading plan dated November 29, 2017 meeting the requirements of Rule 10b5-1(c). F5 · derivative.exercise_date: Vests 25% on the first anniversary of the date of grant and 1/48th of the entire award monthly on the vesting date anniversary for 36 months, subject to acceleration as set forth in the Incentive Plan. Read SEC document |
| July 19, 2018 Filed Jul 20, 2018 20:00 UTC | ASENSUS SURGICAL, INC. TRXC · Entity 88098 | Exercise / conversionStock Options · Derivative | 2,083 | $0.00 Strike: $2.45 | $0.00 |
DisclosureSEC source: 0001209191-18-043567 · doc4.xml · derivative · entry 11 SLATTERY JOSEPH P · CIK 0001246530 · EVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,334 Underlying: Common Stock · 2,083 shares Expires 2025-10-28 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: The transaction occurred pursuant to a written trading plan dated November 29, 2017 meeting the requirements of Rule 10b5-1(c). F5 · derivative.exercise_date: Vests 25% on the first anniversary of the date of grant and 1/48th of the entire award monthly on the vesting date anniversary for 36 months, subject to acceleration as set forth in the Incentive Plan. Read SEC document |
| July 19, 2018 Filed Jul 20, 2018 20:00 UTC | ASENSUS SURGICAL, INC. TRXC · Entity 88098 | Exercise / conversionStock Options · Derivative | 8,485 | $0.00 Strike: $1.42 | $0.00 |
DisclosureSEC source: 0001209191-18-043567 · doc4.xml · derivative · entry 10 SLATTERY JOSEPH P · CIK 0001246530 · EVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 262,209 Underlying: Common Stock · 8,458 shares Expires 2027-02-02 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: The transaction occurred pursuant to a written trading plan dated November 29, 2017 meeting the requirements of Rule 10b5-1(c). F5 · derivative.exercise_date: Vests 25% on the first anniversary of the date of grant and 1/48th of the entire award monthly on the vesting date anniversary for 36 months, subject to acceleration as set forth in the Incentive Plan. Read SEC document |
| July 19, 2018 Filed Jul 20, 2018 20:00 UTC | ASENSUS SURGICAL, INC. TRXC · Entity 88098 | SaleCommon Stock | 67,776 | $5.00 | $338,880.00 |
DisclosureSEC source: 0001209191-18-043567 · doc4.xml · nonDerivative · entry 8 SLATTERY JOSEPH P · CIK 0001246530 · EVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · security: The transaction occurred pursuant to a written trading plan dated November 29, 2017 meeting the requirements of Rule 10b5-1(c). F3 · price: The sale price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $5.00 to $5.005 inclusive. The reporting person undertakes to provide to TransEnterix, Inc., any security holder of TransEnterix, Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote to this Form 4. Read SEC document |
| July 19, 2018 Filed Jul 20, 2018 20:00 UTC | ASENSUS SURGICAL, INC. TRXC · Entity 88098 | Exercise / conversionCommon Stock | 34,999 | $4.02 | $140,695.98 |
DisclosureSEC source: 0001209191-18-043567 · doc4.xml · nonDerivative · entry 7 SLATTERY JOSEPH P · CIK 0001246530 · EVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 67,776 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: The transaction occurred pursuant to a written trading plan dated November 29, 2017 meeting the requirements of Rule 10b5-1(c). Read SEC document |
| July 19, 2018 Filed Jul 20, 2018 20:00 UTC | ASENSUS SURGICAL, INC. TRXC · Entity 88098 | Exercise / conversionCommon Stock | 9,736 | $3.94 | $38,359.84 |
DisclosureSEC source: 0001209191-18-043567 · doc4.xml · nonDerivative · entry 6 SLATTERY JOSEPH P · CIK 0001246530 · EVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,777 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: The transaction occurred pursuant to a written trading plan dated November 29, 2017 meeting the requirements of Rule 10b5-1(c). Read SEC document |
| July 19, 2018 Filed Jul 20, 2018 20:00 UTC | ASENSUS SURGICAL, INC. TRXC · Entity 88098 | Exercise / conversionCommon Stock | 6,875 | $3.82 | $26,262.50 |
DisclosureSEC source: 0001209191-18-043567 · doc4.xml · nonDerivative · entry 5 SLATTERY JOSEPH P · CIK 0001246530 · EVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,041 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: The transaction occurred pursuant to a written trading plan dated November 29, 2017 meeting the requirements of Rule 10b5-1(c). Read SEC document |
| July 19, 2018 Filed Jul 20, 2018 20:00 UTC | ASENSUS SURGICAL, INC. TRXC · Entity 88098 | Exercise / conversionCommon Stock | 5,625 | $2.94 | $16,537.50 |
DisclosureSEC source: 0001209191-18-043567 · doc4.xml · nonDerivative · entry 4 SLATTERY JOSEPH P · CIK 0001246530 · EVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,166 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: The transaction occurred pursuant to a written trading plan dated November 29, 2017 meeting the requirements of Rule 10b5-1(c). Read SEC document |
| July 19, 2018 Filed Jul 20, 2018 20:00 UTC | ASENSUS SURGICAL, INC. TRXC · Entity 88098 | Exercise / conversionCommon Stock | 2,083 | $2.45 | $5,103.35 |
DisclosureSEC source: 0001209191-18-043567 · doc4.xml · nonDerivative · entry 3 SLATTERY JOSEPH P · CIK 0001246530 · EVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,541 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: The transaction occurred pursuant to a written trading plan dated November 29, 2017 meeting the requirements of Rule 10b5-1(c). Read SEC document |
| July 19, 2018 Filed Jul 20, 2018 20:00 UTC | ASENSUS SURGICAL, INC. TRXC · Entity 88098 | Exercise / conversionCommon Stock | 8,458 | $1.42 | $12,010.36 |
DisclosureSEC source: 0001209191-18-043567 · doc4.xml · nonDerivative · entry 2 SLATTERY JOSEPH P · CIK 0001246530 · EVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,458 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: The transaction occurred pursuant to a written trading plan dated November 29, 2017 meeting the requirements of Rule 10b5-1(c). Read SEC document |
| July 19, 2018 Filed Jul 20, 2018 20:00 UTC | ASENSUS SURGICAL, INC. TRXC · Entity 88098 | SaleCommon Stock | 56,622 | $5.00 | $283,110.00 |
DisclosureSEC source: 0001209191-18-043567 · doc4.xml · nonDerivative · entry 1 SLATTERY JOSEPH P · CIK 0001246530 · EVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · security: The transaction occurred pursuant to a written trading plan dated November 29, 2017 meeting the requirements of Rule 10b5-1(c). F2 · price: The sale price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $5.00 to $5.035 inclusive. The reporting person undertakes to provide to TransEnterix, Inc., any security holder of TransEnterix, Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote to this Form 4. Read SEC document |
| July 05, 2018 Filed Jul 6, 2018 18:06 UTC | ASENSUS SURGICAL, INC. TRXC · Entity 88098 | SaleCommon Stock | 37,337 | $4.00 | $149,348.00 |
DisclosureSEC source: 0001209191-18-041906 · doc4.xml · nonDerivative · entry 5 SLATTERY JOSEPH P · CIK 0001246530 · EVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 56,622 F2 · security: The transaction occurred pursuant to a written trading plan dated November 29, 2017, meeting the requirements of Rule 10b5-1(c). Read SEC document |
| July 03, 2018 Filed Jul 6, 2018 18:06 UTC | ASENSUS SURGICAL, INC. TRXC · Entity 88098 | Exercise / conversionRestricted Stock Units · Derivative | 166,667 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-041906 · doc4.xml · derivative · entry 7 SLATTERY JOSEPH P · CIK 0001246530 · EVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 333,333 Underlying: Common Stock · 166,667 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_price: Each restricted stock unit represents the right to receive one share of the Registrant's common stock. F5 · derivative.exercise_date: Forfeiture restrictions will lapse as to 1/3rd of the Restricted Stock Units on each of the first three anniversaries of the date of grant, as long as the Reporting Person remains in the employ of the Registrant. The lapse of forfeiture restrictions may accelerate on certain events as set forth in an employment agreement or the Incentive Plan. F5 · derivative.expiration_date: Forfeiture restrictions will lapse as to 1/3rd of the Restricted Stock Units on each of the first three anniversaries of the date of grant, as long as the Reporting Person remains in the employ of the Registrant. The lapse of forfeiture restrictions may accelerate on certain events as set forth in an employment agreement or the Incentive Plan. Read SEC document |
| July 03, 2018 Filed Jul 6, 2018 18:06 UTC | ASENSUS SURGICAL, INC. TRXC · Entity 88098 | SaleCommon Stock | 11,883 | $4.00 | $47,532.00 |
DisclosureSEC source: 0001209191-18-041906 · doc4.xml · nonDerivative · entry 4 SLATTERY JOSEPH P · CIK 0001246530 · EVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 93,959 F2 · security: The transaction occurred pursuant to a written trading plan dated November 29, 2017, meeting the requirements of Rule 10b5-1(c). F3 · security: Following the sales on July 3, 2018 and July 5, 2018, the reporting person continues to beneficially own 81,622 shares of the company's common stock. The reporting person also holds stock options to acquire 1,886,821 shares of common stock, of which approximately 27% are vested, and restricted stock units representing an additional 595,777 shares of common stock subject to forfeiture restrictions. F3 · balance_after: Following the sales on July 3, 2018 and July 5, 2018, the reporting person continues to beneficially own 81,622 shares of the company's common stock. The reporting person also holds stock options to acquire 1,886,821 shares of common stock, of which approximately 27% are vested, and restricted stock units representing an additional 595,777 shares of common stock subject to forfeiture restrictions. Read SEC document |
| July 03, 2018 Filed Jul 6, 2018 18:06 UTC | ASENSUS SURGICAL, INC. TRXC · Entity 88098 | SaleCommon Stock | 2,491 | $4.01 | $9,988.91 |
DisclosureSEC source: 0001209191-18-041906 · doc4.xml · nonDerivative · entry 3 SLATTERY JOSEPH P · CIK 0001246530 · EVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 105,842 F2 · security: The transaction occurred pursuant to a written trading plan dated November 29, 2017, meeting the requirements of Rule 10b5-1(c). Read SEC document |
| July 03, 2018 Filed Jul 6, 2018 18:06 UTC | ASENSUS SURGICAL, INC. TRXC · Entity 88098 | Tax withholdingCommon Stock | 58,334 | $3.84 | $224,002.56 |
DisclosureSEC source: 0001209191-18-041906 · doc4.xml · nonDerivative · entry 2 SLATTERY JOSEPH P · CIK 0001246530 · EVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 108,333 F1 · kind: This transaction represents the payment of a tax liability on the lapse of forfeiture restrictions on a derivative security and acquisition of the underlying shares. Read SEC document |
| July 03, 2018 Filed Jul 6, 2018 18:06 UTC | ASENSUS SURGICAL, INC. TRXC · Entity 88098 | Exercise / conversionCommon Stock | 166,667 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-041906 · doc4.xml · nonDerivative · entry 1 SLATTERY JOSEPH P · CIK 0001246530 · EVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 166,667 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| June 27, 2018 Filed Jun 27, 2018 20:01 UTC | ASENSUS SURGICAL, INC. TRXC · Entity 88098 | Exercise / conversionStock Option · Derivative | 16,164 | $0.00 Strike: $3.94 | $0.00 |
DisclosureSEC source: 0001209191-18-039732 · doc4.xml · derivative · entry 20 SLATTERY JOSEPH P · CIK 0001246530 · EVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,736 Underlying: Common Stock · 16,164 shares Expires 2024-05-27 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: The transaction occurred pursuant to a written trading plan dated November 29, 2017 meeting the requirements of Rule 10b5-1(c). F5 · derivative.exercise_date: Vests 25% on the first anniversary of the date of grant and 1/48th of the entire award monthly on the vesting date anniversary for 36 months, subject to acceleration as set forth in the Incentive Plan and in connection with a termination of employment following a change in control under an employment agreement. Read SEC document |
| June 27, 2018 Filed Jun 27, 2018 20:01 UTC | ASENSUS SURGICAL, INC. TRXC · Entity 88098 | Exercise / conversionStock Option · Derivative | 184,035 | $0.00 Strike: $3.82 | $0.00 |
DisclosureSEC source: 0001209191-18-039732 · doc4.xml · derivative · entry 19 SLATTERY JOSEPH P · CIK 0001246530 · EVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 137,500 Underlying: Common Stock · 184,035 shares Expires 2026-02-12 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: The transaction occurred pursuant to a written trading plan dated November 29, 2017 meeting the requirements of Rule 10b5-1(c). F5 · derivative.exercise_date: Vests 25% on the first anniversary of the date of grant and 1/48th of the entire award monthly on the vesting date anniversary for 36 months, subject to acceleration as set forth in the Incentive Plan and in connection with a termination of employment following a change in control under an employment agreement. Read SEC document |
| June 27, 2018 Filed Jun 27, 2018 20:01 UTC | ASENSUS SURGICAL, INC. TRXC · Entity 88098 | SaleCommon Stock | 200,199 | $6.00 | $1,201,194.00 |
DisclosureSEC source: 0001209191-18-039732 · doc4.xml · nonDerivative · entry 12 SLATTERY JOSEPH P · CIK 0001246530 · EVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · security: The transaction occurred pursuant to a written trading plan dated November 29, 2017 meeting the requirements of Rule 10b5-1(c). F3 · security: Following the sales on June 25, 2018, June 26, 2018 and June 27, 2018, the reporting person continues to beneficially own 25,000 shares of the company's common stock. The reporting person also holds stock options to acquire 1,886,821 shares of common stock, of which approximately 27% are vested, and restricted stock units representing an additional 762,444 shares of common stock subject to forfeiture restrictions. F4 · price: The sale price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $6.00 to $6.01 inclusive. The reporting person undertakes to provide to TransEnterix, Inc., any security holder of TransEnterix, Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote to this Form 4. F3 · balance_after: Following the sales on June 25, 2018, June 26, 2018 and June 27, 2018, the reporting person continues to beneficially own 25,000 shares of the company's common stock. The reporting person also holds stock options to acquire 1,886,821 shares of common stock, of which approximately 27% are vested, and restricted stock units representing an additional 762,444 shares of common stock subject to forfeiture restrictions. Read SEC document |
| June 27, 2018 Filed Jun 27, 2018 20:01 UTC | ASENSUS SURGICAL, INC. TRXC · Entity 88098 | Exercise / conversionCommon Stock | 16,164 | $3.94 | $63,686.16 |
DisclosureSEC source: 0001209191-18-039732 · doc4.xml · nonDerivative · entry 11 SLATTERY JOSEPH P · CIK 0001246530 · EVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 200,199 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: The transaction occurred pursuant to a written trading plan dated November 29, 2017 meeting the requirements of Rule 10b5-1(c). Read SEC document |
| June 27, 2018 Filed Jun 27, 2018 20:01 UTC | ASENSUS SURGICAL, INC. TRXC · Entity 88098 | Exercise / conversionCommon Stock | 184,035 | $3.82 | $703,013.70 |
DisclosureSEC source: 0001209191-18-039732 · doc4.xml · nonDerivative · entry 10 SLATTERY JOSEPH P · CIK 0001246530 · EVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 184,035 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: The transaction occurred pursuant to a written trading plan dated November 29, 2017 meeting the requirements of Rule 10b5-1(c). Read SEC document |
| June 27, 2018 Filed Jun 27, 2018 20:01 UTC | ASENSUS SURGICAL, INC. TRXC · Entity 88098 | SaleCommon Stock | 82,365 | $6.01 | $495,013.65 |
DisclosureSEC source: 0001209191-18-039732 · doc4.xml · nonDerivative · entry 9 SLATTERY JOSEPH P · CIK 0001246530 · EVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · security: The transaction occurred pursuant to a written trading plan dated November 29, 2017 meeting the requirements of Rule 10b5-1(c). F2 · price: The sale price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $6.01 to $6.025 inclusive. The reporting person undertakes to provide to TransEnterix, Inc., any security holder of TransEnterix, Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote to this Form 4. Read SEC document |
| June 26, 2018 Filed Jun 27, 2018 20:01 UTC | ASENSUS SURGICAL, INC. TRXC · Entity 88098 | Exercise / conversionStock Option · Derivative | 8,465 | $0.00 Strike: $3.82 | $0.00 |
DisclosureSEC source: 0001209191-18-039732 · doc4.xml · derivative · entry 18 SLATTERY JOSEPH P · CIK 0001246530 · EVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 321,535 Underlying: Common Stock · 8,465 shares Expires 2026-02-12 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F5 · derivative.exercise_date: Vests 25% on the first anniversary of the date of grant and 1/48th of the entire award monthly on the vesting date anniversary for 36 months, subject to acceleration as set forth in the Incentive Plan and in connection with a termination of employment following a change in control under an employment agreement. Read SEC document |
| June 26, 2018 Filed Jun 27, 2018 20:01 UTC | ASENSUS SURGICAL, INC. TRXC · Entity 88098 | Exercise / conversionStock Option · Derivative | 93,616 | $0.00 Strike: $2.94 | $0.00 |
DisclosureSEC source: 0001209191-18-039732 · doc4.xml · derivative · entry 17 SLATTERY JOSEPH P · CIK 0001246530 · EVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,001 Underlying: Common Stock · 93,616 shares Expires 2025-02-04 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: The transaction occurred pursuant to a written trading plan dated November 29, 2017 meeting the requirements of Rule 10b5-1(c). F5 · derivative.exercise_date: Vests 25% on the first anniversary of the date of grant and 1/48th of the entire award monthly on the vesting date anniversary for 36 months, subject to acceleration as set forth in the Incentive Plan and in connection with a termination of employment following a change in control under an employment agreement. Read SEC document |
| June 26, 2018 Filed Jun 27, 2018 20:01 UTC | ASENSUS SURGICAL, INC. TRXC · Entity 88098 | SaleCommon Stock | 4,483 | $5.01 | $22,459.83 |
DisclosureSEC source: 0001209191-18-039732 · doc4.xml · nonDerivative · entry 8 SLATTERY JOSEPH P · CIK 0001246530 · EVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 82,365 F1 · security: The transaction occurred pursuant to a written trading plan dated November 29, 2017 meeting the requirements of Rule 10b5-1(c). Read SEC document |
| June 26, 2018 Filed Jun 27, 2018 20:01 UTC | ASENSUS SURGICAL, INC. TRXC · Entity 88098 | SaleCommon Stock | 178,598 | $5.00 | $892,990.00 |
DisclosureSEC source: 0001209191-18-039732 · doc4.xml · nonDerivative · entry 7 SLATTERY JOSEPH P · CIK 0001246530 · EVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 86,848 F1 · security: The transaction occurred pursuant to a written trading plan dated November 29, 2017 meeting the requirements of Rule 10b5-1(c). Read SEC document |
| June 26, 2018 Filed Jun 27, 2018 20:01 UTC | ASENSUS SURGICAL, INC. TRXC · Entity 88098 | Exercise / conversionCommon Stock | 8,465 | $3.82 | $32,336.30 |
DisclosureSEC source: 0001209191-18-039732 · doc4.xml · nonDerivative · entry 6 SLATTERY JOSEPH P · CIK 0001246530 · EVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 265,446 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: The transaction occurred pursuant to a written trading plan dated November 29, 2017 meeting the requirements of Rule 10b5-1(c). Read SEC document |
| June 26, 2018 Filed Jun 27, 2018 20:01 UTC | ASENSUS SURGICAL, INC. TRXC · Entity 88098 | Exercise / conversionCommon Stock | 93,616 | $2.94 | $275,231.04 |
DisclosureSEC source: 0001209191-18-039732 · doc4.xml · nonDerivative · entry 5 SLATTERY JOSEPH P · CIK 0001246530 · EVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 256,981 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| June 25, 2018 Filed Jun 27, 2018 20:01 UTC | ASENSUS SURGICAL, INC. TRXC · Entity 88098 | Exercise / conversionStock Option · Derivative | 131,383 | $0.00 Strike: $2.94 | $0.00 |
DisclosureSEC source: 0001209191-18-039732 · doc4.xml · derivative · entry 16 SLATTERY JOSEPH P · CIK 0001246530 · EVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 138,617 Underlying: Common Stock · 131,383 shares Expires 2025-02-04 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: The transaction occurred pursuant to a written trading plan dated November 29, 2017 meeting the requirements of Rule 10b5-1(c). F5 · derivative.exercise_date: Vests 25% on the first anniversary of the date of grant and 1/48th of the entire award monthly on the vesting date anniversary for 36 months, subject to acceleration as set forth in the Incentive Plan and in connection with a termination of employment following a change in control under an employment agreement. Read SEC document |
| June 25, 2018 Filed Jun 27, 2018 20:01 UTC | ASENSUS SURGICAL, INC. TRXC · Entity 88098 | Exercise / conversionStock Option · Derivative | 64,583 | $0.00 Strike: $2.45 | $0.00 |
DisclosureSEC source: 0001209191-18-039732 · doc4.xml · derivative · entry 15 SLATTERY JOSEPH P · CIK 0001246530 · EVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,417 Underlying: Common Stock · 64,583 shares Expires 2025-10-28 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: The transaction occurred pursuant to a written trading plan dated November 29, 2017 meeting the requirements of Rule 10b5-1(c). F5 · derivative.exercise_date: Vests 25% on the first anniversary of the date of grant and 1/48th of the entire award monthly on the vesting date anniversary for 36 months, subject to acceleration as set forth in the Incentive Plan and in connection with a termination of employment following a change in control under an employment agreement. Read SEC document |
| June 25, 2018 Filed Jun 27, 2018 20:01 UTC | ASENSUS SURGICAL, INC. TRXC · Entity 88098 | Exercise / conversionStock Option · Derivative | 37,875 | $0.00 Strike: $1.53 | $0.00 |
DisclosureSEC source: 0001209191-18-039732 · doc4.xml · derivative · entry 14 SLATTERY JOSEPH P · CIK 0001246530 · EVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 87,500 Underlying: Common Stock · 37,875 shares Expires 2026-10-25 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: The transaction occurred pursuant to a written trading plan dated November 29, 2017 meeting the requirements of Rule 10b5-1(c). F5 · derivative.exercise_date: Vests 25% on the first anniversary of the date of grant and 1/48th of the entire award monthly on the vesting date anniversary for 36 months, subject to acceleration as set forth in the Incentive Plan and in connection with a termination of employment following a change in control under an employment agreement. Read SEC document |
| June 25, 2018 Filed Jun 27, 2018 20:01 UTC | ASENSUS SURGICAL, INC. TRXC · Entity 88098 | SaleCommon Stock | 233,841 | $5.00 | $1,169,205.00 |
DisclosureSEC source: 0001209191-18-039732 · doc4.xml · nonDerivative · entry 4 SLATTERY JOSEPH P · CIK 0001246530 · EVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 163,365 F1 · security: The transaction occurred pursuant to a written trading plan dated November 29, 2017 meeting the requirements of Rule 10b5-1(c). Read SEC document |
| June 25, 2018 Filed Jun 27, 2018 20:01 UTC | ASENSUS SURGICAL, INC. TRXC · Entity 88098 | Exercise / conversionCommon Stock | 131,383 | $2.94 | $386,266.02 |
DisclosureSEC source: 0001209191-18-039732 · doc4.xml · nonDerivative · entry 3 SLATTERY JOSEPH P · CIK 0001246530 · EVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 397,206 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| June 25, 2018 Filed Jun 27, 2018 20:01 UTC | ASENSUS SURGICAL, INC. TRXC · Entity 88098 | Exercise / conversionCommon Stock | 64,583 | $2.45 | $158,228.35 |
DisclosureSEC source: 0001209191-18-039732 · doc4.xml · nonDerivative · entry 2 SLATTERY JOSEPH P · CIK 0001246530 · EVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 265,823 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.