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PRECISION OPTICS CORPORATION, INC. — Director's Dealing 2016
Feb 17, 2016
34759_dirs_2016-02-17_7ee903ab-788e-47e2-a515-9503686d5409.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: PRECISION OPTICS CORPORATION, INC. (PEYE)
CIK: 0000867840
Period of Report: 2016-02-12
Reporting Person: AWM Investment Company, Inc. (10% Owner)
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2016-02-12 | Warrants | $1.5 | J | 350000 | Disposed | 2016-02-12 | Common Stock (0) | Indirect |
Footnotes
F1: Warrants expired on 2/12/2016.
F2: AWM Investment Company, Inc., a Delaware Corporation (AWM), is the investment adviser to Special Situations Fund III QP, L.P. (QP) and Special Situations Private Equity Fund, L.P. (PE and together with QP, the Funds). As the investment adviser to the Funds, AWM holds sole voting and investment power over 0 Warrants of the Issuer (the Shares) held by QP, and 0 Warrants held by PE. Austin W. Marxe (Marxe), David M. Greenhouse (Greenhouse) and Adam C. Stettner (Stettner) are the controlling principals of AWM. The reporting person disclaims beneficial ownership of the Warrants, except to the extent of its pecuniary interest therein. This report shall not be deemed an admission that the reporting person is the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.