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