Statement of Changes in Beneficial Ownership (4)
24 December 2021 - 8:01AM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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3235-0287
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Charlton Alisha |
2. Issuer Name and Ticker or Trading Symbol
PRO DEX INC
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PDEX
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner
__X__ Officer (give title below) _____ Other (specify below)
Chief Financial Officer |
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(Last)
(First)
(Middle)
C/O 2361 MCGAW AVENUE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
12/21/2021 |
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(Street)
IRVINE, CA 92614
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code
(Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4) | 8. Price of Derivative Security
(Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
| Stock Option (Right-to-buy) (1) | $39.00 | 12/21/2021 | | A | | 1000 | | 7/1/2022 | 7/1/2032 | Common Stock | 1000 | $0.00 | 5250 | D | |
| Stock Option (Right-to-buy) (1) | $42.00 | 12/21/2021 | | A | | 1000 | | 7/1/2024 | 7/1/2034 | Common Stock | 1000 | $0.00 | 5250 | D | |
| Stock Option (Right-to-buy) (1) | $45.00 | 12/21/2021 | | A | | 1000 | | 7/1/2026 | 7/1/2036 | Common Stock | 1000 | $0.00 | 5250 | D | |
| Stock Option (Right-to-buy) (1) | $47.50 | 12/21/2021 | | A | | 1000 | | 7/1/2028 | 7/1/2038 | Common Stock | 1000 | $0.00 | 5250 | D | |
| Stock Option (Right-to-buy) (1) | $50.00 | 12/21/2021 | | A | | 1000 | | 7/1/2030 | 7/1/2040 | Common Stock | 1000 | $0.00 | 5250 | D | |
| Explanation of Responses: |
| (1) | 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. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
Charlton Alisha
C/O 2361 MCGAW AVENUE
IRVINE, CA 92614 |
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| Chief Financial Officer |
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Signatures
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| /s/ Alisha Charlton | | 12/23/2021 |
| **Signature of Reporting Person | Date |
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