0001553350-18-000754.txt : 20180702 0001553350-18-000754.hdr.sgml : 20180702 20180702170117 ACCESSION NUMBER: 0001553350-18-000754 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180701 FILED AS OF DATE: 20180702 DATE AS OF CHANGE: 20180702 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Charlton Alisha CENTRAL INDEX KEY: 0001431777 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-14942 FILM NUMBER: 18933550 MAIL ADDRESS: STREET 1: 25541 COMMERCENTRE DRIVE CITY: LAKE FOREST STATE: CA ZIP: 92630 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 4 1 charlton4.xml X0306 4 2018-07-01 0 0000788920 PRO DEX INC PDEX 0001431777 Charlton Alisha C/O 2361 MCGAW AVENUE IRVINE CA 92614 0 1 0 0 Chief Financial Officer Common Stock 2015-08-01 5 J 0 E 653 1.99 A 653 D Common Stock 2016-01-30 5 J 0 E 662 1.9635 A 1315 D Common Stock 2016-08-04 5 J 0 E 264 4.9115 A 1579 D Common Stock 2017-02-02 5 J 0 E 286 4.53 A 1865 D Common Stock 2017-08-03 5 J 0 E 249 5.21 A 2114 D Common Stock 2018-02-01 5 J 0 E 219 5.93 A 2333 D Common Stock 2018-07-01 4 A 0 7300 0 A 9633 D Common Stock 2018-07-01 4 F 0 2741 6.65 D 6892 D These purchases were made pursuant to an Employee Stock Purchase Plan in exempt transactions pursuant to Rule 16b-3(c) and Rule 16b-3(d). Represents shares issued under a performance award agreement granted to the reporting person on December 5, 2017, pursuant to the Pro-Dex, Inc. 2016 Equity Incentive Plan. Represents shares withheld to satisfy tax withholding obligations of the reporting person. /s/ Alisha Charlton 2018-07-02