Statement of Changes in Beneficial Ownership (4)
January 06 2020 - 6:26PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Farabaugh Brett |
2. Issuer Name and Ticker or Trading Symbol
TRANSENTERIX, INC.
[
TRXC
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Interim CFO |
(Last)
(First)
(Middle)
635 DAVIS DRIVE, SUITE 300 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
1/2/2020 |
(Street)
MORRISVILLE, NC 27560
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Restricted Stock Units | $0.00 (1) | 1/2/2020 | | A | | 30000 | | (2) | (2) | Common Stock | 30000 | $0.00 | 30000 | D | |
Explanation of Responses: |
(1) | Each restricted stock unit represents the right to receive one share of the Registrant's common stock. |
(2) | Forfeiture restrictions will lapse on the restricted stock units ninety days following the earlier of (a) April 30, 2020, and (b) if the Reporting Person's employment is continued, the date on which the Reporting Person's continued employment begins. If the Reporting Person ceases to be employed with the Registrant prior to April 30, 2020, the restricted stock units will be forfeited. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Farabaugh Brett 635 DAVIS DRIVE SUITE 300 MORRISVILLE, NC 27560 |
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| Interim CFO |
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Signatures
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/s/Joshua Weingard, as Attorney-in-Fact for Brett Farabaugh | | 2/6/2020 |
**Signature of Reporting Person | Date |
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