Filing Details
- Accession Number:
- 0001044321-12-000155
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2012-10-02 16:19:33
- Reporting Period:
- 2012-09-28
- Filing Date:
- 2012-10-02
- Accepted Time:
- 2012-10-02 16:19:33
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
867840 | Precision Optics Corp Inc | PEYE | Electromedical & Electrotherapeutic Apparatus (3845) | 042795294 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1044321 | M David Greenhouse & W Austin Marxe | C/O Special Situations Funds 527 Madison Avenue, Suite 2600 New York NY 10022 | No | No | Yes | No |
Reported Non-Derivative Transactions
Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|---|---|---|---|---|---|
Common Stock | Acquisiton | 2012-09-28 | 611,112 | $0.90 | 931,113 | No | 4 | P | Indirect | By Limited Partnerships |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | P | Indirect | By Limited Partnerships |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | Warrants | Acquisiton | 2012-09-28 | 427,779 | $0.00 | 427,779 | $1.25 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
427,779 | 2012-09-28 | 2017-09-28 | No | 4 | P | Indirect |
Footnotes
- This is a joint filing by Austin W. Marxe (Marxe) and David M. Greenhouse (Greenhouse). They share voting and investment control over all securities owned by Special Situations Fund III QP, L.P. (QP), Special Situations Cayman Fund, L.P. (Cayman), Special Situations Private Equity Fund, L.P. (PE) and Special Situations Technology Fund II, L.P. (Tech II). 771,112 shares of Common Stock are held by QP, 1 shares of Common Stock are held by Cayman and 160,000 shares of Common Stock are held by PE. The interest of Marxe and Greenhouse in the shares of Common Stock owned by QP, Cayman and PE is limited to the extent of his pecuniary interest.
- The warrant may be exercised to the extent that the total number of shares of Common Stock then beneficially owned does not exceed 4.99% of the outstanding shares. The Holder may request an increase up to 9.99% of the outstanding shares, effective on the 61st day after notice is given to the Company.
- This is a joint filing by Austin W. Marxe (Marxe) and David M. Greenhouse (Greenhouse). They share voting and investment control over all securities owned by Special Situations Fund III QP, L.P. (QP), respectively. 427,779 Warrants are held by QP. The interest of Marxe and Greenhouse in the shares of Warrants owned by QP is limited to the extent of his pecuniary interest.