Statement of Changes in Beneficial Ownership (4)
20 April 2021 - 7:01AM
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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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
*
Hague Richard |
2. Issuer Name and Ticker or Trading Symbol
POLARITYTE, INC.
[
PTE
]
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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) Chf. Oper. Off. & Pres. |
(Last)
(First)
(Middle)
123 WRIGHT BROTHERS DRIVE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
4/16/2021 |
(Street)
SALT LAKE, UT 84116
(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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Common Stock | 4/16/2021 | | F | | 10433 (1) | D | $1 | 661552 | D | |
Common Stock | 4/16/2021 | | A | | 75000 (2) | A | $0 | 736552 | D | |
Common Stock | 4/16/2021 | | A | | 75000 (3) | A | $0 | 811552 | D | |
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 |
Explanation of Responses: |
(1) | The shares were withheld by the Issuer to cover withholding taxes resulting from vesting of restricted stock units that were previously reported on Table I. |
(2) | The number of shares listed refers to an equal number of restricted stock units awarded under the issuer's 2020 Stock Option and Incentive Plan. The restricted stock units vest in 12 installments every three months beginning three months following the grant date on April 16, 2021 and can only be settled in shares. |
(3) | The number of shares listed refers to an equal number of restricted stock units awarded under the issuer's 2019 Equity Incentive Plan. The restricted stock units vest in 12 installments every three months beginning three months following the grant date on April 16, 2021 and can only be settled in shares. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Hague Richard 123 WRIGHT BROTHERS DRIVE SALT LAKE, UT 84116 |
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| Chf. Oper. Off. & Pres. |
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Signatures
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/s/ Richard Hague | | 4/19/2021 |
**Signature of Reporting Person | Date |
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