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PRO DEX INC — Director's Dealing 2017
May 17, 2017
34130_dirs_2017-05-17_9bd01b67-6c24-4c7f-9748-88c3a8c707a1.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: PRO DEX INC (PDEX)
CIK: 0000788920
Period of Report: 2016-08-04
Reporting Person: Van Kirk Richard Lee Jr (Director, Chief Executive Officer)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2016-08-04 | Common Stock - ESPP | J | 198 | $4.9115 | Acquired | 18157 | Direct |
| 2017-02-02 | Common Stock - ESPP | J | 573 | $4.53 | Acquired | 18730 | Direct |
| 2017-05-16 | Common Stock | M | 3334 | $4.38 | Acquired | 22064 | Direct |
| 2017-05-16 | Common Stock | F | 2394 | $6.10 | Disposed | 19700 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2017-05-16 | Employee Stock Option (Right to Buy) | $4.38 | M | 3334 | Disposed | 2017-05-18 | Common Stock (3334) | Direct |
Footnotes
F1: These purchases were made pursuant to an Employee Stock Purchase Plan under Section 423 in exempt transactions pursuant to Rule 16b-3.
F2: 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.
F3: Stock options under the Issuer's Second Amended and Restated 2004 Employee Stock Option Plan. The option shares are fully vested.
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