Statement of Changes in Beneficial Ownership (4)
2019年10月31日 - 5:16AM
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
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
Hague Richard |
2. Issuer Name and Ticker or Trading Symbol
POLARITYTE, INC.
[
PTE
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Chief Operating Officer
|
(Last)
(First)
(Middle)
123 WRIGHT BROTHERS DRIVE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
10/28/2019
|
(Street)
SALT LAKE CITY, UT 84116
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security (Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. Code (Instr. 8)
|
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
|
5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
|
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
|
7. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
Amount
|
(A) or (D)
|
Price
|
Common Stock
|
10/28/2019
|
|
S(1)
|
|
2402
|
D
|
$2.56 (2)
|
335021
|
D
|
|
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
|
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 reported sale was effectuated pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 13, 2019, as amended August 29, 2019.
The sale is intended to cover withholding taxes resulting from vesting of restricted stock awards.
|
(2)
|
The reported price is a weighted average price. The shares were sold in multiple transactions at prices ranging from $2.50 to $2.62, inclusive. The
reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request,
full information regarding the number of shares sold at each separate price that was included in the calculation of the weighted average price.
|
Reporting Owners
|
Reporting Owner Name / Address
|
Relationships
|
Director
|
10% Owner
|
Officer
|
Other
|
Hague Richard 123 WRIGHT BROTHERS DRIVE SALT LAKE CITY, UT 84116
|
|
|
Chief Operating Officer
|
|
Signatures
|
/s/ Richard Hague
|
|
10/30/2019
|
**Signature of Reporting Person
|
Date
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
|
*
|
If the form is filed by more than one reporting person, see Instruction 4(b)(v).
|
**
|
Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
|
Note:
|
File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
|
Persons who 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.
|
PolarityTE (NASDAQ:PTE)
過去 株価チャート
から 6 2024 まで 7 2024
PolarityTE (NASDAQ:PTE)
過去 株価チャート
から 7 2023 まで 7 2024
ご覧いただいた銘柄が下記のボックス内に表示されますので、過去閲覧した銘柄情報に簡単にアクセスすることができます。