0001553350-21-000085.txt : 20210128
0001553350-21-000085.hdr.sgml : 20210128
20210128190828
ACCESSION NUMBER: 0001553350-21-000085
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20201207
FILED AS OF DATE: 20210128
DATE AS OF CHANGE: 20210128
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Swenson Nicholas John
CENTRAL INDEX KEY: 0001478067
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-14942
FILM NUMBER: 21567275
MAIL ADDRESS:
STREET 1: 5000 WEST 36TH STREET
STREET 2: SUITE 130
CITY: MINNEAPOLIS
STATE: MN
ZIP: 55416
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: PRO DEX INC
CENTRAL INDEX KEY: 0000788920
STANDARD INDUSTRIAL CLASSIFICATION: SURGICAL & MEDICAL INSTRUMENTS & APPARATUS [3841]
IRS NUMBER: 841261240
FISCAL YEAR END: 0630
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
ownership.xml
X0306
4
2020-12-07
0
0000788920
PRO DEX INC
PDEX
0001478067
Swenson Nicholas John
5000 W. 36TH STREET
UNIT 130
MINNEAPOLIS
MN
55416
1
0
1
0
Stock Option (Right-to-buy)
39.00
2020-12-07
4
A
0
4000
0
A
2022-07-01
2032-07-01
Common Stock
4000
4000
D
Stock Option (Right-to-buy)
42.00
2020-12-07
4
A
0
4000
0
A
2024-07-01
2034-07-01
Common Stock
4000
8000
D
Stock Option (Right-to-buy)
45.00
2020-12-07
4
A
0
4000
0
A
2026-07-01
2036-07-01
Common Stock
4000
12000
D
Stock Option (Right-to-buy)
47.50
2020-12-07
4
A
0
4000
0
A
2028-07-01
2038-07-01
Common Stock
4000
16000
D
Stock Option (Right-to-buy)
50.00
2020-12-07
4
A
0
4000
0
A
2030-07-01
2040-07-01
Common Stock
4000
20000
D
These options were awarded under Pro-Dex's 2016 Equity Incentive Plan. The percentage of options that may vest and become exercisable, if any, are 100%, 50%, and 25%, respectively, based upon the volume-weighted average price of Pro-Dex's common stock equaling or exceeding the applicable exercise price for the 60 trading days immediately preceding the date the option becomes exercisable, six months from the date the option becomes exercisable, or twelve months from the date the option becomes exercisable, respectively.
Explanation of Responses:
/s/ Alisha Charlton as attorney-in-fact for Nicholas John Swenson
2021-01-28