0001553350-17-000627.txt : 20170517 0001553350-17-000627.hdr.sgml : 20170517 20170517122123 ACCESSION NUMBER: 0001553350-17-000627 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160804 FILED AS OF DATE: 20170517 DATE AS OF CHANGE: 20170517 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: PRO DEX INC CENTRAL INDEX KEY: 0000788920 STANDARD INDUSTRIAL CLASSIFICATION: SURGICAL & MEDICAL INSTRUMENTS & APPARATUS [3841] IRS NUMBER: 000000000 STATE OF INCORPORATION: CA BUSINESS ADDRESS: STREET 1: 2361 MCGAW AVENUE CITY: IRVINE STATE: CA ZIP: 92614 BUSINESS PHONE: 949-769-3231 MAIL ADDRESS: STREET 1: 2361 MCGAW AVENUE CITY: IRVINE STATE: CA ZIP: 92614 FORMER COMPANY: FORMER CONFORMED NAME: PRO-DEX, INC. DATE OF NAME CHANGE: 20151110 FORMER COMPANY: FORMER CONFORMED NAME: CONTEXT CAPITAL FUNDS DATE OF NAME CHANGE: 20151104 FORMER COMPANY: FORMER CONFORMED NAME: PRO DEX INC DATE OF NAME CHANGE: 19920703 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Van Kirk Richard Lee Jr CENTRAL INDEX KEY: 0001575056 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-14942 FILM NUMBER: 17850747 MAIL ADDRESS: STREET 1: 34 DEER CREEK CITY: IRVINE STATE: CA ZIP: 92604 4 1 vankirk4.xml OWNERSHIP DOCUMENT X0306 4 2016-08-04 0 0000788920 PRO DEX INC PDEX 0001575056 Van Kirk Richard Lee Jr 34 DEER CREEK IRVINE CA 92064 1 1 0 0 Chief Executive Officer Common Stock - ESPP 2016-08-04 5 J 0 E 198 4.9115 A 18157 D Common Stock - ESPP 2017-02-02 5 J 0 E 573 4.53 A 18730 D Common Stock 2017-05-16 4 M 0 3334 4.38 A 22064 D Common Stock 2017-05-16 4 F 0 2394 6.10 D 19700 D Employee Stock Option (Right to Buy) 4.38 2017-05-16 4 M 0 3334 0 D 2011-05-18 2017-05-18 Common Stock 3334 0 D These purchases were made pursuant to an Employee Stock Purchase Plan under Section 423 in exempt transactions pursuant to Rule 16b-3. Reflects 2,394 shares withheld by the Issuer at the market price of $6.10 per share less an exercise price of $4.38 per share to fund the cashless exercise of 3,334 options. Stock options under the Issuer's Second Amended and Restated 2004 Employee Stock Option Plan. The option shares are fully vested. /s/ Alisha Charlton as attorney-in-fact for Richard Van Kirk 2017-05-17