SEC Form 4 · accession 0000905148-17-000667
BIOLASE, INC · BIOL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Period of report
Dec 29, 2016
Accepted (ET)
Jul 13, 2017 · 5:10 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000811240
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF2,F1 | Dec 29, 2016 | P | 2,200 | $1.4073 | A | 10,197,399 | I | By Trust |
| Common StockF3,F1 | Dec 30, 2016 | P | 8,002 | $1.3902 | A | 10,205,401 | I | By Trust |
| Common StockF4,F1 | Jan 3, 2017 | P | 9,100 | $1.4446 | A | 10,214,501 | I | By Trust |
| Common StockF5,F1 | Jan 4, 2017 | P | 24,255 | $1.5231 | A | 10,238,756 | I | By Trust |
| Common Stock | holding | — | — | — | 100,000 | I | By Spouse |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1These shares of Common Stock ("Shares") are held by the Jack W. Schuler Living Trust (the "Trust"). Mr. Schuler serves as sole trustee to the Trust.
- F2This price reflects the weighted average purchase price for open-market purchases of shares of Shares made by the Reporting Persons on December 29, 2016, within a $1.00 range. The actual prices for these transactions range from $1.395 to $1.42, inclusive. The Reporting Persons further undertake to provide upon request by the Commission staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares purchased at each separate price within the ranges set forth in footnotes (2), (3), (4), and (5) to this Form 4.
- F3This price reflects the weighted average purchase price for open-market purchases of shares of Shares made by the Reporting Persons on December 30, 2016, within a $1.00 range. The actual prices for these transactions range from $1.39 to $1.40, inclusive.
- F4This price reflects the weighted average purchase price for open-market purchases of shares of Shares made by the Reporting Persons on January 3, 2017, within a $1.00 range. The actual prices for these transactions range from $1.425 to $1.46, inclusive.
- F5This price reflects the weighted average purchase price for open-market purchases of shares of Shares made by the Reporting Persons on January 4, 2017, within a $1.00 range. The actual prices for these transactions range from $1.50 to $1.53, inclusive.