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Nasdaq · USD

POCI

PRECISION OPTICS CORPORATION, INC.

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7237
SEC CIK
0000867840
Parsed reports
103

Last 12 months

Inside the activity.

3 purchase rows · 0 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202500
Dec 202500
Jan 202600
Feb 202600
Mar 202630
Apr 202600
May 202600
Jun 202600
Jul 202600
Aug 202600
Sep 202600
Oct 202600

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
September 05, 2019 Filed Sep 17, 2019 22:41 UTC
Mangadu DivakerPres., Ross Optical Division
GrantStock Option (Right to Buy) · Derivative 100,000 Not disclosed Strike: $1.30 Not disclosed
Disclosure

SEC source: 0001683168-19-002947 · ownership.xml · derivative · entry 1

Mangadu Divaker · CIK 0001781435 · Pres., Ross Optical Division

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2029-09-05

F2 · price: The options were granted by the Issuer as a one-time grant to compensate Mr. Mangadu for his acceptance of employment with the Issuer.

F1 · derivative.exercise_date: The options vest as follows: 33,000, 33,000, and 34,000 options each vest on the first, second, and third anniversary of the grant date.

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August 02, 2018 Filed Aug 6, 2018 20:21 UTC
Forkey Joseph NormanDirector · Chief Executive Officer
GrantStock Option (Right to Buy) · Derivative 350,000 Not disclosed Strike: $0.73 Not disclosed
Disclosure

SEC source: 0001683168-18-002149 · ownership.xml · derivative · entry 2

Forkey Joseph Norman · CIK 0001360197 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 500,000

Underlying: Common Stock · 350,000 shares

Expires 2028-08-02

F3 · price: The options were granted as compensation for services as the Chief Executive Officer of the Issuer.

F2 · derivative.exercise_date: The options vest as follows: 175,000 options vest on the date of filing a Form 10-Q or 10-K where the Issuer reports revenues of $1,500,000 or higher for two consecutive fiscal quarters; 175,000 options vest if the Issuer's common stock is trading at $1.00 per share or higher for fifteen consecutive trading days. All unvested options vest upon a change in control.)

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August 02, 2018 Filed Aug 6, 2018 20:21 UTC
Forkey Joseph NormanDirector · Chief Executive Officer
GrantCommon Stock ($0.01 par value) 300,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001683168-18-002149 · ownership.xml · nonDerivative · entry 1

Forkey Joseph Norman · CIK 0001360197 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 333,620

F1 · shares: The shares of common stock will be issued in three tranches of 100,000 shares each, on the signing date of the compensation agreement, January 1, 2019 and January 1, 2020, as compensation for services as the Chief Executive Officer of the Issuer.

F1 · price: The shares of common stock will be issued in three tranches of 100,000 shares each, on the signing date of the compensation agreement, January 1, 2019 and January 1, 2020, as compensation for services as the Chief Executive Officer of the Issuer.

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August 02, 2018 Filed Aug 6, 2018 20:12 UTC
Major Donald AndrewChief Financial Officer
GrantStock Option (Right to Buy) · Derivative 100,000 Not disclosed Strike: $0.70 Not disclosed
Disclosure

SEC source: 0001683168-18-002148 · ownership.xml · derivative · entry 1

Major Donald Andrew · CIK 0001335661 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 306,000

Underlying: Common Stock · 100,000 shares

Expires 2028-08-02

F2 · price: The options were granted by the Issuer as a one-time grant to compensate Mr. Major for his acceptance of the position of Chief Financial Officer.

F1 · derivative.exercise_date: The options vest as follows: 33,000 options vest on November 2, 2018 (3 months after grant date); 33,000 options vest three months following the end of the second consecutive quarter in which the Issuer's quarterly revenues are $1,500,000 or greater as published in a Form 10-Q or 10-K; and 34,000 options vest three months following the end of the second consecutive quarter in which the Issuer's gross margin percentage is 30% or greater as published in a Form 10-Q. All options vest upon a change in control or termination for a reason other than cause.

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October 06, 2017 Filed Oct 10, 2017 12:01 UTC OtherWarrants · Derivative 62,500 $0.00 Strike: $0.01 $0.00
Disclosure

SEC source: 0001144204-17-051776 · tv476679_4.xml · derivative · entry 3

Hershey Strategic Capital, LP · CIK 0001465476 · 10% owner

HERSHEY MANAGEMENT I, LLC. · CIK 0001494208 · 10% owner

HERSHEY STRATEGIC CAPITAL GP, LLC · CIK 0001613737 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 62,500 shares

Expires 2017-10-16

F1 · ownership.nature: This Form 4 is being filed on behalf of Hershey Strategic Capital, LP, Hershey Management I, LLC and Hershey Strategic Capital GP, LLC. Hershey Strategic Capital, LP owns all of the securities directly. Hershey Management I, LLC is the investment advisor of Hershey Strategic Capital, LP and disclaims beneficial ownership in such shares. Hershey Strategic Capital GP, LLC is the general partner of Hershey Strategic Capital, LP and disclaims beneficial ownership in such shares except to the extent of its pecuniary interest in such shares. As the investment advisor, Hershey Management I, LLC has the voting and dispositive power with respect to all of the shares of Common Stock. Accordingly, the ownership form of the shares for Hershey Management I, LLC and Hershey Strategic Capital GP, LLC is indirect.

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October 06, 2017 Filed Oct 10, 2017 12:01 UTC OtherCommon Stock 62,500 $0.01 $625.00
Disclosure

SEC source: 0001144204-17-051776 · tv476679_4.xml · nonDerivative · entry 2

Hershey Strategic Capital, LP · CIK 0001465476 · 10% owner

HERSHEY MANAGEMENT I, LLC. · CIK 0001494208 · 10% owner

HERSHEY STRATEGIC CAPITAL GP, LLC · CIK 0001613737 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 986,480

F1 · ownership.nature: This Form 4 is being filed on behalf of Hershey Strategic Capital, LP, Hershey Management I, LLC and Hershey Strategic Capital GP, LLC. Hershey Strategic Capital, LP owns all of the securities directly. Hershey Management I, LLC is the investment advisor of Hershey Strategic Capital, LP and disclaims beneficial ownership in such shares. Hershey Strategic Capital GP, LLC is the general partner of Hershey Strategic Capital, LP and disclaims beneficial ownership in such shares except to the extent of its pecuniary interest in such shares. As the investment advisor, Hershey Management I, LLC has the voting and dispositive power with respect to all of the shares of Common Stock. Accordingly, the ownership form of the shares for Hershey Management I, LLC and Hershey Strategic Capital GP, LLC is indirect.

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October 06, 2017 Filed Oct 10, 2017 12:01 UTC OtherCommon Stock 537,000 $0.00 $0.00
Disclosure

SEC source: 0001144204-17-051776 · tv476679_4.xml · nonDerivative · entry 1

Hershey Strategic Capital, LP · CIK 0001465476 · 10% owner

HERSHEY MANAGEMENT I, LLC. · CIK 0001494208 · 10% owner

HERSHEY STRATEGIC CAPITAL GP, LLC · CIK 0001613737 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 923,980

F2 · kind: The 537,000 shares of Common Stock were distributed to limited partners of Hershey Strategic Capital, LP.

F1 · ownership.nature: This Form 4 is being filed on behalf of Hershey Strategic Capital, LP, Hershey Management I, LLC and Hershey Strategic Capital GP, LLC. Hershey Strategic Capital, LP owns all of the securities directly. Hershey Management I, LLC is the investment advisor of Hershey Strategic Capital, LP and disclaims beneficial ownership in such shares. Hershey Strategic Capital GP, LLC is the general partner of Hershey Strategic Capital, LP and disclaims beneficial ownership in such shares except to the extent of its pecuniary interest in such shares. As the investment advisor, Hershey Management I, LLC has the voting and dispositive power with respect to all of the shares of Common Stock. Accordingly, the ownership form of the shares for Hershey Management I, LLC and Hershey Strategic Capital GP, LLC is indirect.

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August 03, 2017 Filed Aug 4, 2017 19:46 UTC OtherWarrants · Derivative 62,500 Not disclosed Strike: $0.40 Not disclosed
Disclosure

SEC source: 0001144204-17-040560 · v472336_4.xml · derivative · entry 2

Hershey Strategic Capital, LP · CIK 0001465476 · 10% owner

HERSHEY MANAGEMENT I, LLC. · CIK 0001494208 · 10% owner

HERSHEY STRATEGIC CAPITAL GP, LLC · CIK 0001613737 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 62,500

Underlying: Common Stock · 62,500 shares

Expires 2017-10-16

F2 · derivative.exercise_price: The exercise price of the warrant is subject to reduction in the event the Issuer fails to meet certain financial benchmarks during the fiscal year ended June 30, 2017.

F3 · kind: The Warrants were acquired on November 22, 2016; however, pursuant to the terms of the Warrants, they are not exercisable until October 2, 2017. The Reporting Persons are filing this Form 4 at this time because the Warrants became exercisable within 60 days on August 3, 2017.

F4 · price: The Warrants were acquired as part of a Unit. Each Unit consisted on one share of Common Stock and a Warrant to acquire one-half share of Common Stock. The price of each Unit was $.60

F1 · ownership.nature: This Form 4 is being filed on behalf of Hershey Strategic Capital, LP, Hershey Management I, LLC and Hershey Strategic Capital GP, LLC. Hershey Strategic Capital, LP owns all of the 1,460,980 shares of Common Stock and 62,500 Warrants directly. Hershey Management I, LLC is the investment advisor of Hershey Strategic Capital, LP and disclaims beneficial ownership in such shares. Hershey Strategic Capital GP, LLC is the general partner of Hershey Strategic Capital, LP and disclaims beneficial ownership in such shares except to the extent of its pecuniary interest in such shares. As the investment advisor, Hershey Management I, LLC has the voting and dispositive power with respect to all of the 1,460,980 shares of Common Stock. Accordingly, the ownership form of the shares for Hershey Management I, LLC and Hershey Strategic Capital GP, LLC is indirect.

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December 22, 2016 Filed Dec 24, 2016 02:06 UTC PurchaseCommon Stock 25,980 $0.60 $15,567.22
Disclosure

SEC source: 0001144204-16-141296 · v455740_4.xml · nonDerivative · entry 1

Hershey Strategic Capital, LP · CIK 0001465476 · 10% owner

HERSHEY MANAGEMENT I, LLC. · CIK 0001494208 · 10% owner

HERSHEY STRATEGIC CAPITAL GP, LLC · CIK 0001613737 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 1,460,980

F1 · price: This transaction was executed in multiple trades at prices ranging from $0.59 to $0.60. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

F2 · ownership.nature: This Form 4 is being filed on behalf of Hershey Strategic Capital, LP, Hershey Management I, LLC and Hershey Strategic Capital GP, LLC. Hershey Strategic Capital, LP owns all of the 1,460,980 shares of Common Stock directly. Hershey Management I, LLC is the investment advisor of Hershey Strategic Capital, LP and disclaims beneficial ownership in such shares. Hershey Strategic Capital GP, LLC is the general partner of Hershey Strategic Capital, LP and disclaims beneficial ownership in such shares except to the extent of its pecuniary interest in such shares. As the investment advisor, Hershey Management I, LLC has the voting and dispositive power with respect to all of the 1,460,980 shares of Common Stock. Accordingly, the ownership form of the shares for Hershey Management I, LLC and Hershey Strategic Capital GP, LLC is indirect.

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November 29, 2016 Filed Dec 2, 2016 01:51 UTC OtherWarrants · Derivative 2,235 Not disclosed Strike: $0.97 Not disclosed
Disclosure

SEC source: 0001683168-16-000833 · precision-miles_f4.xml · derivative · entry 1

Miles Richard B · CIK 0001345727 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 77,835

Underlying: Common Stock · 2,235 shares

Expires 2017-09-28

F1 · kind: On November 22, 2016, the issuer sold 1,333,334 units consisting of shares of common stock and warrants in a private placement. Mr. Miles purchased 7,779 warrants in a private placement on September 28, 2012 with an original exercise price of $1.25 per share. The new warrants were issued as a result of the November 2016 private placement triggering certain anti-dilution provisions in these original warrants. In connection therewith, the exercise price of the September 2012 warrants decreased to $0.97 per share accordingly.

F1 · price: On November 22, 2016, the issuer sold 1,333,334 units consisting of shares of common stock and warrants in a private placement. Mr. Miles purchased 7,779 warrants in a private placement on September 28, 2012 with an original exercise price of $1.25 per share. The new warrants were issued as a result of the November 2016 private placement triggering certain anti-dilution provisions in these original warrants. In connection therewith, the exercise price of the September 2012 warrants decreased to $0.97 per share accordingly.

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November 29, 2016 Filed Dec 2, 2016 01:48 UTC
Forkey Joseph NormanDirector · Chief Executive Officer
OtherWarrants · Derivative 4,470 Not disclosed Strike: $0.97 Not disclosed
Disclosure

SEC source: 0001683168-16-000831 · precision-forkey_f4.xml · derivative · entry 1

Forkey Joseph Norman · CIK 0001360197 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,027

Underlying: Common Stock · 4,470 shares

Expires 2017-09-28

F1 · kind: On November 22, 2016, the issuer sold 1,333,334 units consisting of shares of common stock and warrants in a private placement. Mr. Forkey purchased 15,557 warrants in a private placement on September 28, 2012 with an original exercise price of $1.25 per share. The new warrants were issued as a result of the November 2016 private placement triggering certain anti-dilution provisions in these original warrants. In connection therewith, the exercise price of the September 2012 warrants decreased to $0.97 per share accordingly.

F1 · price: On November 22, 2016, the issuer sold 1,333,334 units consisting of shares of common stock and warrants in a private placement. Mr. Forkey purchased 15,557 warrants in a private placement on September 28, 2012 with an original exercise price of $1.25 per share. The new warrants were issued as a result of the November 2016 private placement triggering certain anti-dilution provisions in these original warrants. In connection therewith, the exercise price of the September 2012 warrants decreased to $0.97 per share accordingly.

Read SEC document
November 29, 2016 Filed Dec 2, 2016 01:51 UTC
Major Donald AndrewChief Financial Officer
OtherWarrants · Derivative 5,587 Not disclosed Strike: $0.97 Not disclosed
Disclosure

SEC source: 0001683168-16-000832 · precision-major_f4.xml · derivative · entry 1

Major Donald Andrew · CIK 0001335661 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 211,587

Underlying: Common Stock · 5,587 shares

Expires 2017-09-28

F1 · kind: On November 22, 2016, the issuer sold 1,333,334 units consisting of shares of common stock and warrants in a private placement. Mr. Major purchased 19,445 warrants in a private placement on September 28, 2012 with an original exercise price of $1.25 per share. The new warrants were issued as a result of the November 2016 private placement triggering certain anti-dilution provisions in these original warrants. In connection therewith, the exercise price of the September 2012 warrants decreased to $0.97 per share accordingly.

F1 · price: On November 22, 2016, the issuer sold 1,333,334 units consisting of shares of common stock and warrants in a private placement. Mr. Major purchased 19,445 warrants in a private placement on September 28, 2012 with an original exercise price of $1.25 per share. The new warrants were issued as a result of the November 2016 private placement triggering certain anti-dilution provisions in these original warrants. In connection therewith, the exercise price of the September 2012 warrants decreased to $0.97 per share accordingly.

Read SEC document
November 29, 2016 Filed Dec 1, 2016 22:13 UTC OtherWarrants · Derivative 44,704 $0.00 Strike: $0.97 $0.00
Disclosure

SEC source: 0001683168-16-000830 · woodward_frm4.xml · derivative · entry 3

Woodward Peter H · CIK 0001369119 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Warrants held through MHW Partners, L.P.

Disclosed balance after: 278,594

Underlying: Common Stock · 44,704 shares

Expires 2017-09-28

F4 · kind: These warrants were issued as a result of triggering certain anti-dilution provisions in the original warrants in conjunction with the private placement. In connection therewith, the exercise price of the warrants decreased to $0.97 per share accordingly.

F1 · ownership.nature: The shares are held in the name of MHW Partners, L.P. Mr. Woodward is the managing member and general partner of MHW Partners, L.P. Mr. Woodward disclaims beneficial ownership of these shares except to the extent of his pecuniary interest in the shares.

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November 29, 2016 Filed Dec 1, 2016 22:13 UTC PurchaseWarrants · Derivative 78,333 $0.60 $46,999.80
Disclosure

SEC source: 0001683168-16-000830 · woodward_frm4.xml · derivative · entry 2

Woodward Peter H · CIK 0001369119 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Warrants held through MHW Partners, L.P.

Disclosed balance after: 233,890

Underlying: Common Stock · 78,333 shares

Expires 2017-10-16

F3 · derivative.exercise_price: The warrant exercise price is variable and depends on the Issuer's achievement of two financial performance criteria in fiscal year 2017. The warrant exercise price will be $0.40 per share, $0.20 per share or $0.01 per share if both, one or neither performance criteria are met, respectively.

F2 · price: The 156,667 shares and warrants to purchase 78,333 shares of common stock were purchased in a private placement at a price of $0.60 per unit. Each unit consisted of one share of common stock and one warrant to purchase one half of one share of common stock (50% warrant coverage).

F1 · ownership.nature: The shares are held in the name of MHW Partners, L.P. Mr. Woodward is the managing member and general partner of MHW Partners, L.P. Mr. Woodward disclaims beneficial ownership of these shares except to the extent of his pecuniary interest in the shares.

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November 29, 2016 Filed Dec 1, 2016 22:13 UTC PurchaseCommon Stock 156,667 $0.60 $94,000.20
Disclosure

SEC source: 0001683168-16-000830 · woodward_frm4.xml · nonDerivative · entry 1

Woodward Peter H · CIK 0001369119 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Shares held through MHW Partners, L.P.

Disclosed balance after: 595,680

F2 · price: The 156,667 shares and warrants to purchase 78,333 shares of common stock were purchased in a private placement at a price of $0.60 per unit. Each unit consisted of one share of common stock and one warrant to purchase one half of one share of common stock (50% warrant coverage).

F1 · ownership.nature: The shares are held in the name of MHW Partners, L.P. Mr. Woodward is the managing member and general partner of MHW Partners, L.P. Mr. Woodward disclaims beneficial ownership of these shares except to the extent of his pecuniary interest in the shares.

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November 22, 2016 Filed Dec 1, 2016 00:12 UTC PurchaseCommon Stock 125,000 $0.60 $75,000.00
Disclosure

SEC source: 0001144204-16-137325 · v454163_4.xml · nonDerivative · entry 1

Hershey Strategic Capital, LP · CIK 0001465476 · 10% owner

HERSHEY MANAGEMENT I, LLC. · CIK 0001494208 · 10% owner

HERSHEY STRATEGIC CAPITAL GP, LLC · CIK 0001613737 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 1,435,000

F1 · ownership.nature: This Form 4 is being filed on behalf of Hershey Strategic Capital, LP, Hershey Management I, LLC and Hershey Strategic Capital GP, LLC. Hershey Strategic Capital, LP owns all of the 1,435,000 shares of Common Stock directly. Hershey Management I, LLC is the investment advisor of Hershey Strategic Capital, LP and disclaims beneficial ownership in such shares. Hershey Strategic Capital GP, LLC is the general partner of Hershey Strategic Capital, LP and disclaims beneficial ownership in such shares except to the extent of its pecuniary interest in such shares. As the investment advisor, Hershey Management I, LLC has the voting and dispositive power with respect to all of the 1,435,000 shares of Common Stock. Accordingly, the ownership form of the shares for Hershey Management I, LLC and Hershey Strategic Capital GP, LLC is indirect.

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February 18, 2016 Filed Sep 12, 2016 22:20 UTC OtherCommon Stock, $0.01 par value 45,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001683168-16-000077 · major_f4.xml · nonDerivative · entry 1

Major Donald Andrew · CIK 0001335661 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 125,778

F1 · kind: Securities were granted as consideration for consulting services provided by Mr. Major to the Company.

F1 · price: Securities were granted as consideration for consulting services provided by Mr. Major to the Company.

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January 26, 2016 Filed Jul 11, 2019 19:32 UTC Amendment SaleCommon Stock, no par value 60,000 $0.50 $30,000.00
Disclosure

SEC source: 0001144204-19-034415 · tv525058_form4a.xml · nonDerivative · entry 1

Sternberg Stuart · CIK 0001221315 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,258,002

Read SEC document
January 06, 2016 Filed Jul 11, 2019 19:32 UTC Amendment SaleCommon Stock, no par value 8,000 $0.66 $5,280.00
Disclosure

SEC source: 0001144204-19-034414 · tv525057_form4a.xml · nonDerivative · entry 1

Sternberg Stuart · CIK 0001221315 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,318,002

Read SEC document
January 04, 2016 Filed Jul 11, 2019 19:32 UTC Amendment SaleCommon Stock, no par value 1,000 $0.60 $600.00
Disclosure

SEC source: 0001144204-19-034414 · tv525057_form4a.xml · nonDerivative · entry 2

Sternberg Stuart · CIK 0001221315 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,326,002

Read SEC document

Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.