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