144 1 pdex_144.htm NOTICE OF PROPOSED SALE OF SECURITIES FORM 144



UNITED STATES

OMB APPROVAL

SECURITIES AND EXCHANGE COMMISSION

OMB Number: 3235-0101

Washington, D.C. 20549

Expires: July 31, 2023

 

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FORM 144

SEC USE ONLY

DOCUMENT SEQUENCE NO.

 

NOTICE OF PROPOSED SALE OF SECURITIES
PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933

CUSIP NUMBER

ATTENTION:

Transmit for filing 3 copies of this form concurrently with either placing an order with a broker to execute sale or executing a sale directly with a market maker.

WORK LOCATION

1 (a) NAME OF ISSUER (Please type or print)

(b) IRS IDENT. NO.

(c) S.E.C. FILE NO.

Pro-Dex, Inc.

84-1261240

0-14942

1 (d) ADDRESS OF ISSUER (Street, City, State, Zip Code)

(e) TELEPHONE NO.

2361 McGaw Avenue, Irvine, California 92614

AREA CODE

NUMBER

(949)

769-3200

2 (a) NAME OF PERSON FOR WHOSE ACCOUNT THE SECURITIES ARE TO BE SOLD

 

(b) RELATIONSHIP TO ISSUER

(c) ADDRESS (Street. City, State, Zip Code)

William J. Farrell III

 

Director

2361 McGaw Avenue, Irvine, CA 92614

 

INSTRUCTION: The person filing this notice should contact the issuer to obtain the I.R.S. Identification Number and the S.E.C. File Number.

 

(a)

Title of the
Class of
Securities
To be sold

(b)

Name and Address of Each Broker Through Whom the
Securities are to be Offered or Each Market Maker
who is Acquiring the Securities

SEC USE ONLY

(c)

Number of Shares
or Other Units
To Be Sold

 

(See instr. 3(c))

(d)

Aggregate

Market

Value

 

(See instr. 3(d))

(e)

Number of Shares
or Other Units
Outstanding

 

(See instr. 3(e))

(f)

Approximate

Date of Sale

 

(See instr. 3(f))

(MO. DAY YR.)

(g)

Name of Each
Securities
Exchange

 

(See instr. 3(g))


Broker-Dealer

File Number

Common Stock

TD Ameritrade Institutional
PO Box 2577
Omaha, NE 68103

 

2500

64,575(1)

3,860,639

2/12/21

NASDAQ

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

INSTRUCTIONS:

1

(a)

Name of issuer

(b)

Issuer’s I.R.S. Identification Number

(c)

Issuer’s S.E.C. file number, if any

(d)

Issuer’s address, including zip code

(e)

Issuer’s telephone number, including area code

2.

(a)

Name of person for whose account the securities are to be sold

(b)

Such person’s relationship to the issuer (e.g., officer, director, 10% stockholder, or member of immediate family of any of the foregoing)

(c)

Such person’s address, including zip code

3.

(a)

Title of the class of securities to be sold

(b)

Name and address of each broker through whom the securities are intended to be sold

(c)

Number of shares or other units to be sold (if debt securities, give the aggregate face amount)

(d)

Aggregate market value of the securities to be sold as of a specified date within 10 days prior to the filing of this notice

(e)

Number of shares or other units of the class outstanding, or if debt securities the face amount thereof outstanding, as shown by the most recent report or statement published by the issuer

(f)

Approximate date on which the securities are to be sold

(g)

Name of each securities exchange, if any, on which the securities are intended to be sold

 

Potential persons who are to respond to the collection of information contained in this form are not
required to respond unless the form displays a currently valid OMB control number.





TABLE I –– SECURITIES TO BE SOLD

Furnish the following information with respect to the acquisition of the securities to be sold
and with respect to the payment of all or any part of the purchase price or other consideration therefor:

Title of

the Class

Date you

Acquired


Name of Acquisition Transaction

Name of Person from Whom Acquired

(If gift, also give date donor acquired)

Amount of

Securities Acquired

Date of

Payment


Nature of Payment

Common Stock

10/01/2012

Open Market

William J. Farrell IRA

1000

 

Cash

Common Stock

12/9/2015

Open Market

William J. Farrell IRA

1000

 

Cash

Common Stock

12/10/2015

Open Market

William J. Farrell IRA

500

 

Cash

 

 

 

 

 

 

 


REMARKS:


(1)

The aggregate value reported above is based on the closing market price Pro-Dex, Inc. on February 11, 2021.

 

INSTRUCTIONS:

See the definition of “person” in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice.

 

ATTENTION:  The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed. If such person has adopted a written trading plan or given trading instructions to satisfy Rule 10b5-1 under the Exchange Act, by signing the form and indicating the date that the plan was adopted or the instruction given, that person makes such representation as of the plan adoption or instruction date.

 

 

 

February 12, 2021

 

 

/s/ William J. Farrell

 

 

DATE OF NOTICE

 

 

(SIGNATURE)

 

 

 

 

The notice shall be signed by the person for whose account the securities are to be sold. At least one copy of the notice shall be manually signed. Any copies not manually signed shall bear typed or printed signatures.

 

DATE OF PLAN ADOPTION OR GIVING OF INSTRUCTION, IF RELYING ON RULE 10B5-1

 

 

ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)