Statement of Changes in Beneficial Ownership (4)
July 07 2020 - 6:01PM
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
*
Fernando Anthony C. J. |
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)
__X__ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) President and CEO |
(Last)
(First)
(Middle)
C/O TRANSENTERIX, INC., 635 DAVIS DRIVE, SUITE 300 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
7/3/2020 |
(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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Common Stock | 7/3/2020 | | M | | 17949 | A | $0 (1) | 55501 | D | |
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 (2) | $0 | 7/3/2020 | | M | | | 15385 | (3) | (3) | Common Stock | 15385 | $0 | 0 | D | |
Restricted Stock Units (2) | $0 | 7/3/2020 | | M | | | 2564 | (4) | (4) | Common Stock | 2564 | $0 | 2565 | D | |
Explanation of Responses: |
(1) | Lapse of forfeiture restrictions on two grants of restricted stock units ("RSUs") awarded on July 3, 2017 and October 31, 2018. |
(2) | Each RSU represents the right to receive one share of the Registrant's common stock. |
(3) | Lapse of forfeiture restrictions on the final 15,385 RSUs from this grant made on July 3, 2017. |
(4) | Lapse of forfeiture restrictions on one-third of a RSU award granted on October 31, 2018. Forfeiture restrictions will lapse on the remaining RSUs in one final installment of 2,565 on July 3, 2021, as long as the Reporting Person continues to provide services to the Registrant, subject to acceleration as set forth in the Registrant's Amended and Restated Incentive Compensation Plan and the Reporting Person's Employment Agreement with the Registrant. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Fernando Anthony C. J. C/O TRANSENTERIX, INC. 635 DAVIS DRIVE, SUITE 300 MORRISVILLE, NC 27560 | X |
| President and CEO |
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Signatures
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/s/ Joshua Weingard, as attorney in fact for Anthony Fernando | | 7/7/2020 |
**Signature of Reporting Person | Date |
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