0001493152-21-022234.txt : 20210908 0001493152-21-022234.hdr.sgml : 20210908 20210908191142 ACCESSION NUMBER: 0001493152-21-022234 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210903 FILED AS OF DATE: 20210908 DATE AS OF CHANGE: 20210908 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Malhotra R. Rimmy CENTRAL INDEX KEY: 0001442755 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-54114 FILM NUMBER: 211243211 MAIL ADDRESS: STREET 1: C/O COMMAND CENTER, INC. STREET 2: 3609 S WADSWORTH BLVD., SUITE 250 CITY: LAKEWOOD STATE: CO ZIP: 80235 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Optex Systems Holdings Inc CENTRAL INDEX KEY: 0001397016 STANDARD INDUSTRIAL CLASSIFICATION: OPTICAL INSTRUMENTS & LENSES [3827] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1003 BUSINESS ADDRESS: STREET 1: 1420 PRESIDENTIAL DRIVE CITY: RICHARDSON STATE: TX ZIP: 75081 BUSINESS PHONE: 972-764-5700 MAIL ADDRESS: STREET 1: 1420 PRESIDENTIAL DRIVE CITY: RICHARDSON STATE: TX ZIP: 75081 FORMER COMPANY: FORMER CONFORMED NAME: Sustut Exploration Inc DATE OF NAME CHANGE: 20070419 4 1 ownership.xml X0306 4 2021-09-03 0 0001397016 Optex Systems Holdings Inc OPXS 0001442755 Malhotra R. Rimmy 1420 PRESIDENTIAL DRIVE RICHARDSON TX 75081 1 0 0 0 Common Stock 2021-09-03 4 P 0 4991 1.65 A 123301 D Common Stock 2021-09-07 4 P 0 8846 1.66 A 85746 I Note 2 Common Stock 2021-09-08 4 P 0 10000 1.675 A 95746 I Note 2 80,000 shares represented by this figure are subject to vesting as previously disclosed. Shares purchased by the Nicoya Fund LLC, bringing total ownership by Nicoya Fund to 95,746 shares. This reporting person is the managing member of Nicoya Capital LLC, which is the managing member of the Nicoya Fund. /s/ R. Rimmy Malhotra 2021-09-08