SEC Form 4 · accession 0001535264-16-000149
PRECISION OPTICS CORPORATION, INC. · POCI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
AWM Investment Company, Inc.
10% Owner
Period of report
Feb 12, 2016
Accepted (ET)
Feb 17, 2016 · 2:11 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000867840
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| WarrantsF1,F2 | $1.50 | Feb 12, 2016 | J | 350,000 | D | Feb 12, 2013 | Feb 12, 2016 | Common Stock | 0 | 0 | I |
Explanation of responses
- F1Warrants expired on 2/12/2016.
- F2AWM Investment Company, Inc., a Delaware Corporation (AWM), is the investment adviser to Special Situations Fund III QP, L.P. (QP) and Special Situations Private Equity Fund, L.P. (PE and together with QP, the Funds). As the investment adviser to the Funds, AWM holds sole voting and investment power over 0 Warrants of the Issuer (the Shares) held by QP, and 0 Warrants held by PE. Austin W. Marxe (Marxe), David M. Greenhouse (Greenhouse) and Adam C. Stettner (Stettner) are the controlling principals of AWM. The reporting person disclaims beneficial ownership of the Warrants, except to the extent of its pecuniary interest therein. This report shall not be deemed an admission that the reporting person is the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.