SEC Form 4 · accession 0001553350-18-000754
PRO DEX INC · PDEX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Alisha Charlton
Officer — Chief Financial Officer
Period of report
Jul 1, 2018
Accepted (ET)
Jul 2, 2018 · 5:01 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000788920
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Aug 1, 2015 | J | 653 | $1.99 | A | 653 | D | |
| Common Stock | Jan 30, 2016 | J | 662 | $1.9635 | A | 1,315 | D | |
| Common Stock | Aug 4, 2016 | J | 264 | $4.9115 | A | 1,579 | D | |
| Common Stock | Feb 2, 2017 | J | 286 | $4.53 | A | 1,865 | D | |
| Common Stock | Aug 3, 2017 | J | 249 | $5.21 | A | 2,114 | D | |
| Common Stock | Feb 1, 2018 | J | 219 | $5.93 | A | 2,333 | D | |
| Common Stock | Jul 1, 2018 | A | 7,300 | $0.00 | A | 9,633 | D | |
| Common Stock | Jul 1, 2018 | F | 2,741 | $6.65 | D | 6,892 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1These purchases were made pursuant to an Employee Stock Purchase Plan in exempt transactions pursuant to Rule 16b-3(c) and Rule 16b-3(d).
- F2Represents shares issued under a performance award agreement granted to the reporting person on December 5, 2017, pursuant to the Pro-Dex, Inc. 2016 Equity Incentive Plan.
- F3Represents shares withheld to satisfy tax withholding obligations of the reporting person.