Swenson Nicholas John

SEC source: 0001567619-21-011561 · doc1.xml · nonDerivative · entry 2

Swenson Nicholas John · CIK 0001478067 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · AO Partners I, L.P.

Disclosed balance after: 139,444

F4 · price: The price reported in Column 4 is a weighted average price. The prices actually received ranged from $7.33 to $7.94. The reporting person has provided to the issuer, and will provide to any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares purchased at each price within the range for all transactions reported in this Form 4 utilizing a weighted average price.

F2 · ownership.direct: Note the following with regard to Groveland Capital LLC ("Groveland Capital"); AO Partners I, L.P. ("AO Partners Fund"); AO Partners, LLC, the General Partner to the AO Partners Fund ("AO Partners"); and Glenhurst Co. ("Glenhurst"): Mr. Swenson is the Managing Member of Groveland Capital and may direct Groveland Capital as to the vote and disposition of the shares of Common Stock it holds; Mr. Swenson is the Managing Member of AO Partners, the General Partner of AO Partners Fund, and has the power to direct the affairs of AO Partners Fund, including the voting and disposition of shares of Common Stock held in the name of AO Partners Fund; and Mr. Swenson is the sole owner of Glenhurst, and he has the power to direct the affairs of Glenhurst, including the voting and disposition of shares of Common Stock held in the name of Glenhurst.

F3 · ownership.nature: Each of the parties herein may be deemed to be a member of a Section 13(d) group disclosed in a Schedule 13D filed on behalf of the parties and Air T, Inc., the other member of such group. The members of this Section 13(d) group collectively own more than 10% of the Issuer's outstanding shares of Common Stock. Each of the parties disclaims beneficial ownership of the shares of Common Stock held by the other members of this Section 13(d) group except to the extent of his or its pecuniary interest therein. The securities reported herein do not include any securities held by Air T, Inc., as such shares are reported in a separate filing.

SEC source: 0001567619-21-011561 · doc1.xml · nonDerivative · entry 1

Swenson Nicholas John · CIK 0001478067 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · AO Partners I, L.P.

Disclosed balance after: 108,935

F1 · price: The price reported in Column 4 is a weighted average price. The prices actually received ranged from $7.14 to $7.80. The reporting person has provided to the issuer, and will provide to any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares purchased at each price within the range for all transactions reported in this Form 4 utilizing a weighted average price.

F2 · ownership.direct: Note the following with regard to Groveland Capital LLC ("Groveland Capital"); AO Partners I, L.P. ("AO Partners Fund"); AO Partners, LLC, the General Partner to the AO Partners Fund ("AO Partners"); and Glenhurst Co. ("Glenhurst"): Mr. Swenson is the Managing Member of Groveland Capital and may direct Groveland Capital as to the vote and disposition of the shares of Common Stock it holds; Mr. Swenson is the Managing Member of AO Partners, the General Partner of AO Partners Fund, and has the power to direct the affairs of AO Partners Fund, including the voting and disposition of shares of Common Stock held in the name of AO Partners Fund; and Mr. Swenson is the sole owner of Glenhurst, and he has the power to direct the affairs of Glenhurst, including the voting and disposition of shares of Common Stock held in the name of Glenhurst.

F3 · ownership.nature: Each of the parties herein may be deemed to be a member of a Section 13(d) group disclosed in a Schedule 13D filed on behalf of the parties and Air T, Inc., the other member of such group. The members of this Section 13(d) group collectively own more than 10% of the Issuer's outstanding shares of Common Stock. Each of the parties disclaims beneficial ownership of the shares of Common Stock held by the other members of this Section 13(d) group except to the extent of his or its pecuniary interest therein. The securities reported herein do not include any securities held by Air T, Inc., as such shares are reported in a separate filing.

SEC source: 0001567619-21-011216 · doc1.xml · nonDerivative · entry 1

Swenson Nicholas John · CIK 0001478067 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · AO Partners I, L.P.

Disclosed balance after: 88,229

F1 · ownership.direct: Note the following with regard to Groveland Capital LLC ("Groveland Capital"); AO Partners I, L.P. ("AO Partners Fund"); AO Partners, LLC, the General Partner to the AO Partners Fund ("AO Partners"); and Glenhurst Co. ("Glenhurst"): Mr. Swenson is the Managing Member of Groveland Capital and may direct Groveland Capital as to the vote and disposition of the shares of Common Stock it holds; Mr. Swenson is the Managing Member of AO Partners, the General Partner of AO Partners Fund, and has the power to direct the affairs of AO Partners Fund, including the voting and disposition of shares of Common Stock held in the name of AO Partners Fund; and Mr. Swenson is the sole owner of Glenhurst, and he has the power to direct the affairs of Glenhurst, including the voting and disposition of shares of Common Stock held in the name of Glenhurst.

F2 · ownership.nature: Each of the parties herein may be deemed to be a member of a Section 13(d) group disclosed in a Schedule 13D filed on behalf of the parties and Air T, Inc., the other member of such group. The members of this Section 13(d) group collectively own more than 10% of the Issuer's outstanding shares of Common Stock. Each of the parties disclaims beneficial ownership of the shares of Common Stock held by the other members of this Section 13(d) group except to the extent of his or its pecuniary interest therein. The securities reported herein do not include any securities held by Air T, Inc., as such shares are reported in a separate filing.

SEC source: 0001567619-21-011163 · doc1.xml · nonDerivative · entry 2

Swenson Nicholas John · CIK 0001478067 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · AO Partners I, L.P.

Disclosed balance after: 85,655

F1 · ownership.direct: Note the following with regard to Groveland Capital LLC ("Groveland Capital"); AO Partners I, L.P. ("AO Partners Fund"); AO Partners, LLC, the General Partner to the AO Partners Fund ("AO Partners"); and Glenhurst Co. ("Glenhurst"): Mr. Swenson is the Managing Member of Groveland Capital and may direct Groveland Capital as to the vote and disposition of the shares of Common Stock it holds; Mr. Swenson is the Managing Member of AO Partners, the General Partner of AO Partners Fund, and has the power to direct the affairs of AO Partners Fund, including the voting and disposition of shares of Common Stock held in the name of AO Partners Fund; and Mr. Swenson is the sole owner of Glenhurst, and he has the power to direct the affairs of Glenhurst, including the voting and disposition of shares of Common Stock held in the name of Glenhurst.

F2 · ownership.nature: Each of the parties herein may be deemed to be a member of a Section 13(d) group disclosed in a Schedule 13D filed on behalf of the parties and Air T, Inc., the other member of such group. The members of this Section 13(d) group collectively own more than 10% of the Issuer's outstanding shares of Common Stock. Each of the parties disclaims beneficial ownership of the shares of Common Stock held by the other members of this Section 13(d) group except to the extent of his or its pecuniary interest therein. The securities reported herein do not include any securities held by Air T, Inc., as such shares are reported in a separate filing.

SEC source: 0001567619-21-011163 · doc1.xml · nonDerivative · entry 1

Swenson Nicholas John · CIK 0001478067 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · AO Partners I, L.P.

Disclosed balance after: 69,252

F1 · ownership.direct: Note the following with regard to Groveland Capital LLC ("Groveland Capital"); AO Partners I, L.P. ("AO Partners Fund"); AO Partners, LLC, the General Partner to the AO Partners Fund ("AO Partners"); and Glenhurst Co. ("Glenhurst"): Mr. Swenson is the Managing Member of Groveland Capital and may direct Groveland Capital as to the vote and disposition of the shares of Common Stock it holds; Mr. Swenson is the Managing Member of AO Partners, the General Partner of AO Partners Fund, and has the power to direct the affairs of AO Partners Fund, including the voting and disposition of shares of Common Stock held in the name of AO Partners Fund; and Mr. Swenson is the sole owner of Glenhurst, and he has the power to direct the affairs of Glenhurst, including the voting and disposition of shares of Common Stock held in the name of Glenhurst.

F2 · ownership.nature: Each of the parties herein may be deemed to be a member of a Section 13(d) group disclosed in a Schedule 13D filed on behalf of the parties and Air T, Inc., the other member of such group. The members of this Section 13(d) group collectively own more than 10% of the Issuer's outstanding shares of Common Stock. Each of the parties disclaims beneficial ownership of the shares of Common Stock held by the other members of this Section 13(d) group except to the extent of his or its pecuniary interest therein. The securities reported herein do not include any securities held by Air T, Inc., as such shares are reported in a separate filing.

SEC source: 0001567619-21-010966 · doc1.xml · nonDerivative · entry 1

Swenson Nicholas John · CIK 0001478067 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · AO Partners I, L.P.

Disclosed balance after: 65,624

F1 · ownership.direct: Note the following with regard to Groveland Capital LLC ("Groveland Capital"); AO Partners I, L.P. ("AO Partners Fund"); AO Partners, LLC, the General Partner to the AO Partners Fund ("AO Partners"); and Glenhurst Co. ("Glenhurst"): Mr. Swenson is the Managing Member of Groveland Capital and may direct Groveland Capital as to the vote and disposition of the shares of Common Stock it holds; Mr. Swenson is the Managing Member of AO Partners, the General Partner of AO Partners Fund, and has the power to direct the affairs of AO Partners Fund, including the voting and disposition of shares of Common Stock held in the name of AO Partners Fund; and Mr. Swenson is the sole owner of Glenhurst, and he has the power to direct the affairs of Glenhurst, including the voting and disposition of shares of Common Stock held in the name of Glenhurst.

F2 · ownership.nature: Each of the parties herein may be deemed to be a member of a Section 13(d) group disclosed in a Schedule 13D filed on behalf of the parties and Air T, Inc., the other member of such group. The members of this Section 13(d) group collectively own more than 10% of the Issuer's outstanding shares of Common Stock. Each of the parties disclaims beneficial ownership of the shares of Common Stock held by the other members of this Section 13(d) group except to the extent of his or its pecuniary interest therein. The securities reported herein do not include any securities held by Air T, Inc., as such shares are reported in a separate filing.

SEC source: 0001567619-21-010756 · doc1.xml · nonDerivative · entry 2

Swenson Nicholas John · CIK 0001478067 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · AO Partners I, L.P.

Disclosed balance after: 62,724

F4 · price: The price reported in Column 4 is a weighted average price. The prices actually received ranged from $6.54 to $6.64. The reporting person has provided to the issuer, and will provide to any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares purchased at each price within the range for all transactions reported in this Form 4 utilizing a weighted average price.

F2 · ownership.direct: Note the following with regard to Groveland Capital LLC ("Groveland Capital"); AO Partners I, L.P. ("AO Partners Fund"); AO Partners, LLC, the General Partner to the AO Partners Fund ("AO Partners"); and Glenhurst Co. ("Glenhurst"): Mr. Swenson is the Managing Member of Groveland Capital and may direct Groveland Capital as to the vote and disposition of the shares of Common Stock it holds; Mr. Swenson is the Managing Member of AO Partners, the General Partner of AO Partners Fund, and has the power to direct the affairs of AO Partners Fund, including the voting and disposition of shares of Common Stock held in the name of AO Partners Fund; and Mr. Swenson is the sole owner of Glenhurst, and he has the power to direct the affairs of Glenhurst, including the voting and disposition of shares of Common Stock held in the name of Glenhurst.

SEC source: 0001567619-21-010756 · doc1.xml · nonDerivative · entry 1

Swenson Nicholas John · CIK 0001478067 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · AO Partners I, L.P.

Disclosed balance after: 51,009

F1 · price: The price reported in Column 4 is a weighted average price. The prices actually received ranged from $6.30 to $6.55. The reporting person has provided to the issuer, and will provide to any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares purchased at each price within the range for all transactions reported in this Form 4 utilizing a weighted average price.

F2 · ownership.direct: Note the following with regard to Groveland Capital LLC ("Groveland Capital"); AO Partners I, L.P. ("AO Partners Fund"); AO Partners, LLC, the General Partner to the AO Partners Fund ("AO Partners"); and Glenhurst Co. ("Glenhurst"): Mr. Swenson is the Managing Member of Groveland Capital and may direct Groveland Capital as to the vote and disposition of the shares of Common Stock it holds; Mr. Swenson is the Managing Member of AO Partners, the General Partner of AO Partners Fund, and has the power to direct the affairs of AO Partners Fund, including the voting and disposition of shares of Common Stock held in the name of AO Partners Fund; and Mr. Swenson is the sole owner of Glenhurst, and he has the power to direct the affairs of Glenhurst, including the voting and disposition of shares of Common Stock held in the name of Glenhurst.

F3 · ownership.nature: Each of the parties herein may be deemed to be a member of a Section 13(d) group disclosed in a Schedule 13D filed on behalf of the parties and Air T, Inc., the other member of such group. The members of this Section 13(d) group collectively own more than 10% of the Issuer's outstanding shares of Common Stock. Each of the parties disclaims beneficial ownership of the shares of Common Stock held by the other members of this Section 13(d) group except to the extent of his or its pecuniary interest therein. The securities reported herein do not include any securities held by Air T, Inc., as such shares are reported in a separate filing.

SEC source: 0001567619-21-008770 · doc1.xml · nonDerivative · entry 2

Swenson Nicholas John · CIK 0001478067 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · AO Partners I, L.P.

Disclosed balance after: 35,588

F3 · price: The price reported in Column 4 is a weighted average price. The prices actually received ranged from $5.37 to $5.60. The reporting person has provided to the issuer, and will provide to any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares purchased at each price within the range for all transactions reported in this Form 4 utilizing a weighted average price.

F4 · balance_after: Shares are reflected on a post-split basis in accordance with the seven-for-one reverse stock split completed by the Issuer on December 31, 2020. Fractional shares resulting from the reverse stock split were cashed out by the issuer.

F1 · ownership.direct: Note the following with regard to Groveland Capital LLC ("Groveland Capital"); AO Partners I, L.P. ("AO Partners Fund"); AO Partners, LLC, the General Partner to the AO Partners Fund ("AO Partners"); and Glenhurst Co. ("Glenhurst"): Mr. Swenson is the Managing Member of Groveland Capital and may direct Groveland Capital as to the vote and disposition of the shares of Common Stock it holds; Mr. Swenson is the Managing Member of AO Partners, the General Partner of AO Partners Fund, and has the power to direct the affairs of AO Partners Fund, including the voting and disposition of shares of Common Stock held in the name of AO Partners Fund; and Mr. Swenson is the sole owner of Glenhurst, and he has the power to direct the affairs of Glenhurst, including the voting and disposition of shares of Common Stock held in the name of Glenhurst.

SEC source: 0001567619-21-008770 · doc1.xml · nonDerivative · entry 1

Swenson Nicholas John · CIK 0001478067 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · AO Partners I, L.P.

Disclosed balance after: 8,458

F1 · ownership.direct: Note the following with regard to Groveland Capital LLC ("Groveland Capital"); AO Partners I, L.P. ("AO Partners Fund"); AO Partners, LLC, the General Partner to the AO Partners Fund ("AO Partners"); and Glenhurst Co. ("Glenhurst"): Mr. Swenson is the Managing Member of Groveland Capital and may direct Groveland Capital as to the vote and disposition of the shares of Common Stock it holds; Mr. Swenson is the Managing Member of AO Partners, the General Partner of AO Partners Fund, and has the power to direct the affairs of AO Partners Fund, including the voting and disposition of shares of Common Stock held in the name of AO Partners Fund; and Mr. Swenson is the sole owner of Glenhurst, and he has the power to direct the affairs of Glenhurst, including the voting and disposition of shares of Common Stock held in the name of Glenhurst.

F2 · ownership.nature: Each of the parties herein may be deemed to be a member of a Section 13(d) group disclosed in a Schedule 13D filed on behalf of the parties and Air T, Inc., the other member of such group. The members of this Section 13(d) group collectively own more than 10% of the Issuer's outstanding shares of Common Stock. Each of the parties disclaims beneficial ownership of the shares of Common Stock held by the other members of this Section 13(d) group except to the extent of his or its pecuniary interest therein. The securities reported herein do not include any securities held by Air T, Inc., as such shares are reported in a separate filing.

SEC source: 0001553350-21-000155 · ownership.xml · derivative · entry 1

Swenson Nicholas John · CIK 0001478067 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,000

Underlying: Common Stock · 4,000 shares

Expires 2031-07-01

F1 · security: These options were awarded under Pro-Dex's 2016 Equity Incentive Plan. The percentage of options that may vest and become exercisable, if any, are 100%, 50%, and 25%, respectively, based upon the volume-weighted average price of Pro-Dex's common stock equaling or exceeding the applicable exercise price for the 60 trading days immediately preceding the date the option becomes exercisable, six months from the date the option becomes exercisable, or twelve months from the date the option becomes exercisable, respectively.

SEC source: 0001567619-21-001719 · doc1.xml · nonDerivative · entry 3

Swenson Nicholas John · CIK 0001478067 · Director · CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By AO Partners I, LP

Disclosed balance after: 940,750

F1 · shares: The purchases reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 31, 2020.

F3 · balance_after: The reported securities are owned directly by AO Partners I. L.P., and indirectly by AO Partners, LLC, as General Partner of AO Partners I. L.P., and Nicholas J. Swenson as Managing Member of AO Partners, LLC. Nicholas J. Swenson disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.

SEC source: 0001567619-21-001719 · doc1.xml · nonDerivative · entry 2

Swenson Nicholas John · CIK 0001478067 · Director · CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By AO Partners I, LP

Disclosed balance after: 939,458

F1 · shares: The purchases reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 31, 2020.

F2 · price: The price reported in Column 4 is a weighted average price. The prices actually received ranged from $20.24 to $20.25. The reporting person has provided to the issuer, and will provide to any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares purchased at each price within the range for all transactions reported in this Form 4 utilizing a weighted average price.

F3 · balance_after: The reported securities are owned directly by AO Partners I. L.P., and indirectly by AO Partners, LLC, as General Partner of AO Partners I. L.P., and Nicholas J. Swenson as Managing Member of AO Partners, LLC. Nicholas J. Swenson disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.

SEC source: 0001567619-21-001719 · doc1.xml · nonDerivative · entry 1

Swenson Nicholas John · CIK 0001478067 · Director · CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By AO Partners I, LP

Disclosed balance after: 937,584

F1 · shares: The purchases reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 31, 2020.

F3 · balance_after: The reported securities are owned directly by AO Partners I. L.P., and indirectly by AO Partners, LLC, as General Partner of AO Partners I. L.P., and Nicholas J. Swenson as Managing Member of AO Partners, LLC. Nicholas J. Swenson disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.

SEC source: 0001567619-21-001346 · doc1.xml · nonDerivative · entry 1

Swenson Nicholas John · CIK 0001478067 · Director · CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,170

SEC source: 0001567619-21-001422 · doc1.xml · nonDerivative · entry 1

Swenson Nicholas John · CIK 0001478067 · Director · CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,170

SEC source: 0001567619-21-000024 · doc1.xml · nonDerivative · entry 1

Swenson Nicholas John · CIK 0001478067 · Director · CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By AO Partners I, LP

Disclosed balance after: 937,084

F1 · price: The price reported in Column 4 is a weighted average price. The prices actually received ranged from $19.88 to $20.25. The reporting person has provided to the issuer, and will provide to any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares purchased at each price within the range for all transactions reported in this Form 4 utilizing a weighted average price.

F2 · balance_after: The reported securities are owned directly by AO Partners I. L.P., and indirectly by AO Partners, LLC, as General Partner of AO Partners I. L.P., and Nicholas J. Swenson as Managing Member of AO Partners, LLC. Nicholas J. Swenson disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.

SEC source: 0001567619-20-021738 · doc1.xml · nonDerivative · entry 4

Swenson Nicholas John · CIK 0001478067 · Director · CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By AO Partners I, LP

Disclosed balance after: 918,467

F5 · price: The price reported in Column 4 is a weighted average price. The prices actually received ranged from $19.66 to $20.25. The reporting person has provided to the issuer, and will provide to any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares purchased at each price within the range for all transactions reported in this Form 4 utilizing a weighted average price.

F2 · balance_after: The reported securities are owned directly by AO Partners I. L.P., and indirectly by AO Partners, LLC, as General Partner of AO Partners I. L.P., and Nicholas J. Swenson as Managing Member of AO Partners, LLC. Nicholas J. Swenson disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.

SEC source: 0001567619-20-021738 · doc1.xml · nonDerivative · entry 3

Swenson Nicholas John · CIK 0001478067 · Director · CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By AO Partners I, LP

Disclosed balance after: 906,299

F4 · price: The price reported in Column 4 is a weighted average price. The prices actually received ranged from $18.645 to $19.63. The reporting person has provided to the issuer, and will provide to any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares purchased at each price within the range for all transactions reported in this Form 4 utilizing a weighted average price.

F2 · balance_after: The reported securities are owned directly by AO Partners I. L.P., and indirectly by AO Partners, LLC, as General Partner of AO Partners I. L.P., and Nicholas J. Swenson as Managing Member of AO Partners, LLC. Nicholas J. Swenson disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.

SEC source: 0001567619-20-021738 · doc1.xml · nonDerivative · entry 2

Swenson Nicholas John · CIK 0001478067 · Director · CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By AO Partners I, LP

Disclosed balance after: 900,288

F3 · price: The price reported in Column 4 is a weighted average price. The prices actually received ranged from $18.63 to $19.00. The reporting person has provided to the issuer, and will provide to any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares purchased at each price within the range for all transactions reported in this Form 4 utilizing a weighted average price.

F2 · balance_after: The reported securities are owned directly by AO Partners I. L.P., and indirectly by AO Partners, LLC, as General Partner of AO Partners I. L.P., and Nicholas J. Swenson as Managing Member of AO Partners, LLC. Nicholas J. Swenson disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.

SEC source: 0001567619-20-021738 · doc1.xml · nonDerivative · entry 1

Swenson Nicholas John · CIK 0001478067 · Director · CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By AO Partners I, LP

Disclosed balance after: 893,493

F1 · price: The price reported in Column 4 is a weighted average price. The prices actually received ranged from $17.635 to $18.625. The reporting person has provided to the issuer, and will provide to any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares purchased at each price within the range for all transactions reported in this Form 4 utilizing a weighted average price.

F2 · balance_after: The reported securities are owned directly by AO Partners I. L.P., and indirectly by AO Partners, LLC, as General Partner of AO Partners I. L.P., and Nicholas J. Swenson as Managing Member of AO Partners, LLC. Nicholas J. Swenson disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.

SEC source: 0001553350-20-001104 · ownership.xml · nonDerivative · entry 1

Swenson Nicholas John · CIK 0001478067 · Director · 10% owner

AO Partners I, LP · CIK 0001542769 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By AO Partners I, LP

Disclosed balance after: 927,177

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $39.495 to $39.67, inclusive. The reporting person undertakes to provide Pro-Dex, Inc., any security holder of Pro-Dex, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (1) to this Form.

SEC source: 0001553350-21-000085 · ownership.xml · derivative · entry 5

Swenson Nicholas John · CIK 0001478067 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 4,000 shares

Expires 2040-07-01

F1 · security: These options were awarded under Pro-Dex's 2016 Equity Incentive Plan. The percentage of options that may vest and become exercisable, if any, are 100%, 50%, and 25%, respectively, based upon the volume-weighted average price of Pro-Dex's common stock equaling or exceeding the applicable exercise price for the 60 trading days immediately preceding the date the option becomes exercisable, six months from the date the option becomes exercisable, or twelve months from the date the option becomes exercisable, respectively. Explanation of Responses:

SEC source: 0001553350-21-000085 · ownership.xml · derivative · entry 4

Swenson Nicholas John · CIK 0001478067 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,000

Underlying: Common Stock · 4,000 shares

Expires 2038-07-01

F1 · security: These options were awarded under Pro-Dex's 2016 Equity Incentive Plan. The percentage of options that may vest and become exercisable, if any, are 100%, 50%, and 25%, respectively, based upon the volume-weighted average price of Pro-Dex's common stock equaling or exceeding the applicable exercise price for the 60 trading days immediately preceding the date the option becomes exercisable, six months from the date the option becomes exercisable, or twelve months from the date the option becomes exercisable, respectively. Explanation of Responses:

SEC source: 0001553350-21-000085 · ownership.xml · derivative · entry 3

Swenson Nicholas John · CIK 0001478067 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,000

Underlying: Common Stock · 4,000 shares

Expires 2036-07-01

F1 · security: These options were awarded under Pro-Dex's 2016 Equity Incentive Plan. The percentage of options that may vest and become exercisable, if any, are 100%, 50%, and 25%, respectively, based upon the volume-weighted average price of Pro-Dex's common stock equaling or exceeding the applicable exercise price for the 60 trading days immediately preceding the date the option becomes exercisable, six months from the date the option becomes exercisable, or twelve months from the date the option becomes exercisable, respectively. Explanation of Responses:

SEC source: 0001553350-21-000085 · ownership.xml · derivative · entry 2

Swenson Nicholas John · CIK 0001478067 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,000

Underlying: Common Stock · 4,000 shares

Expires 2034-07-01

F1 · security: These options were awarded under Pro-Dex's 2016 Equity Incentive Plan. The percentage of options that may vest and become exercisable, if any, are 100%, 50%, and 25%, respectively, based upon the volume-weighted average price of Pro-Dex's common stock equaling or exceeding the applicable exercise price for the 60 trading days immediately preceding the date the option becomes exercisable, six months from the date the option becomes exercisable, or twelve months from the date the option becomes exercisable, respectively. Explanation of Responses:

SEC source: 0001553350-21-000085 · ownership.xml · derivative · entry 1

Swenson Nicholas John · CIK 0001478067 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,000

Underlying: Common Stock · 4,000 shares

Expires 2032-07-01

F1 · security: These options were awarded under Pro-Dex's 2016 Equity Incentive Plan. The percentage of options that may vest and become exercisable, if any, are 100%, 50%, and 25%, respectively, based upon the volume-weighted average price of Pro-Dex's common stock equaling or exceeding the applicable exercise price for the 60 trading days immediately preceding the date the option becomes exercisable, six months from the date the option becomes exercisable, or twelve months from the date the option becomes exercisable, respectively. Explanation of Responses:

SEC source: 0001567619-21-008768 · doc1.xml · nonDerivative · entry 5

Swenson Nicholas John · CIK 0001478067 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · AO Partners I, L.P.

Disclosed balance after: 26,432

F2 · ownership.direct: Note the following with regard to Groveland Capital LLC ("Groveland Capital"); AO Partners I, L.P. ("AO Partners Fund"); AO Partners, LLC, the General Partner to the AO Partners Fund ("AO Partners"); and Glenhurst Co. ("Glenhurst"): Mr. Swenson is the Managing Member of Groveland Capital and may direct Groveland Capital as to the vote and disposition of the shares of Common Stock it holds; Mr. Swenson is the Managing Member of AO Partners, the General Partner of AO Partners Fund, and has the power to direct the affairs of AO Partners Fund, including the voting and disposition of shares of Common Stock held in the name of AO Partners Fund; and Mr. Swenson is the sole owner of Glenhurst, and he has the power to direct the affairs of Glenhurst, including the voting and disposition of shares of Common Stock held in the name of Glenhurst.

SEC source: 0001567619-21-008768 · doc1.xml · nonDerivative · entry 4

Swenson Nicholas John · CIK 0001478067 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Glenhurst Co.

Disclosed balance after: 80,000

F2 · ownership.direct: Note the following with regard to Groveland Capital LLC ("Groveland Capital"); AO Partners I, L.P. ("AO Partners Fund"); AO Partners, LLC, the General Partner to the AO Partners Fund ("AO Partners"); and Glenhurst Co. ("Glenhurst"): Mr. Swenson is the Managing Member of Groveland Capital and may direct Groveland Capital as to the vote and disposition of the shares of Common Stock it holds; Mr. Swenson is the Managing Member of AO Partners, the General Partner of AO Partners Fund, and has the power to direct the affairs of AO Partners Fund, including the voting and disposition of shares of Common Stock held in the name of AO Partners Fund; and Mr. Swenson is the sole owner of Glenhurst, and he has the power to direct the affairs of Glenhurst, including the voting and disposition of shares of Common Stock held in the name of Glenhurst.

SEC source: 0001567619-21-008768 · doc1.xml · nonDerivative · entry 3

Swenson Nicholas John · CIK 0001478067 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Glenhurst Co.

Disclosed balance after: 30,000

F2 · ownership.direct: Note the following with regard to Groveland Capital LLC ("Groveland Capital"); AO Partners I, L.P. ("AO Partners Fund"); AO Partners, LLC, the General Partner to the AO Partners Fund ("AO Partners"); and Glenhurst Co. ("Glenhurst"): Mr. Swenson is the Managing Member of Groveland Capital and may direct Groveland Capital as to the vote and disposition of the shares of Common Stock it holds; Mr. Swenson is the Managing Member of AO Partners, the General Partner of AO Partners Fund, and has the power to direct the affairs of AO Partners Fund, including the voting and disposition of shares of Common Stock held in the name of AO Partners Fund; and Mr. Swenson is the sole owner of Glenhurst, and he has the power to direct the affairs of Glenhurst, including the voting and disposition of shares of Common Stock held in the name of Glenhurst.

SEC source: 0001567619-20-006893 · doc1.xml · nonDerivative · entry 1

Swenson Nicholas John · CIK 0001478067 · Director · CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Glenhurst Co.

Disclosed balance after: 97,800

F1 · balance_after: The reported securities are owned directly by Glenhurst Co., a Minnesota corporation, wholly owned by Nicholas J. Swenson.

SEC source: 0001567619-20-006961 · doc1.xml · nonDerivative · entry 1

Swenson Nicholas John · CIK 0001478067 · Director · CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By AO Partners I, LP

Disclosed balance after: 883,557

F1 · shares: This Amended Form 4 is being filed to correct the purchase transaction reported on a Form 4 filed on March 23, 2020. The purchase of shares was incorrectly reported as having been purchased by Glenhurst Co.. The purchase was made by AO Partners I, LP.

F1 · balance_after: This Amended Form 4 is being filed to correct the purchase transaction reported on a Form 4 filed on March 23, 2020. The purchase of shares was incorrectly reported as having been purchased by Glenhurst Co.. The purchase was made by AO Partners I, LP.

F2 · balance_after: The reported securities are owned directly by AO Partners I. L.P., and indirectly by AO Partners, LLC, as General Partner of AO Partners I. L.P., and Nicholas J. Swenson as Managing Member of AO Partners, LLC. Nicholas J. Swenson disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.

SEC source: 0001567619-20-006835 · doc1.xml · nonDerivative · entry 1

Swenson Nicholas John · CIK 0001478067 · Director · CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Glenhurst Co.

Disclosed balance after: 94,938

F1 · balance_after: The reported securities are owned directly by Glenhurst Co., a Minnesota corporation, wholly owned by Nicholas J. Swenson.

SEC source: 0000353184-19-000012 · primary_doc.xml · nonDerivative · entry 1

Swenson Nicholas John · CIK 0001478067 · Director · CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Groveland Capital, LLC

Disclosed balance after: 35,534

F1 · ownership.nature: The reported securities are owned directly by Groveland Capital, LLC and indirectly by Nicholas J. Swenson as the sole managing member and president of Groveland Capital, LLC. Nicholas J. Swenson disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. Included in the reported securities are shares that were previously owned by Groveland Hedged Credit Fund LLC and subsequently transferred to Groveland Capital, LLC via transactions exempt from reporting under Rule 16a-13.

SEC source: 0000353184-19-000011 · primary_doc.xml · nonDerivative · entry 1

Swenson Nicholas John · CIK 0001478067 · Director · CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Groveland Capital, LLC

Disclosed balance after: 35,334

F1 · ownership.nature: The reported securities are owned directly by Groveland Capital, LLC and indirectly by Nicholas J. Swenson as the sole managing member and president of Groveland Capital, LLC. Nicholas J. Swenson disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. Included in the reported securities are shares that were previously owned by Groveland Hedged Credit Fund LLC and subsequently transferred to Groveland Capital, LLC via transactions exempt from reporting under Rule 16a-13.

SEC source: 0001553350-21-000821 · ownership.xml · nonDerivative · entry 1

Swenson Nicholas John · CIK 0001478067 · Director · 10% owner

AO Partners I, LP · CIK 0001542769 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By AO Partners I, LP

Disclosed balance after: 926,730

SEC source: 0000353184-19-000010 · primary_doc.xml · nonDerivative · entry 2

Swenson Nicholas John · CIK 0001478067 · Director · CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Groveland Capital, LLC

Disclosed balance after: 35,174

F1 · ownership.nature: The reported securities are owned directly by Groveland Capital, LLC and indirectly by Nicholas J. Swenson as the sole managing member and president of Groveland Capital, LLC. Nicholas J. Swenson disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. Included in the reported securities are shares that were previously owned by Groveland Hedged Credit Fund LLC and subsequently transferred to Groveland Capital, LLC via transactions exempt from reporting under Rule 16a-13.

SEC source: 0000353184-19-000010 · primary_doc.xml · nonDerivative · entry 1

Swenson Nicholas John · CIK 0001478067 · Director · CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Groveland Capital, LLC

Disclosed balance after: 35,095

F1 · ownership.nature: The reported securities are owned directly by Groveland Capital, LLC and indirectly by Nicholas J. Swenson as the sole managing member and president of Groveland Capital, LLC. Nicholas J. Swenson disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. Included in the reported securities are shares that were previously owned by Groveland Hedged Credit Fund LLC and subsequently transferred to Groveland Capital, LLC via transactions exempt from reporting under Rule 16a-13.

SEC source: 0001567619-19-004543 · doc1.xml · nonDerivative · entry 2

Swenson Nicholas John · CIK 0001478067 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By AO Partners I, LP

Disclosed balance after: 947,177

SEC source: 0001567619-19-004543 · doc1.xml · nonDerivative · entry 1

Swenson Nicholas John · CIK 0001478067 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By AO Partners I, LP

Disclosed balance after: 967,738

SEC source: 0000353184-19-000009 · primary_doc.xml · nonDerivative · entry 2

Swenson Nicholas John · CIK 0001478067 · Director · CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Groveland Capital, LLC

Disclosed balance after: 35,072

F1 · ownership.nature: The reported securities are owned directly by Groveland Capital, LLC and indirectly by Nicholas J. Swenson as the sole managing member and president of Groveland Capital, LLC. Nicholas J. Swenson disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. Included in the reported securities are shares that were previously owned by Groveland Hedged Credit Fund LLC and subsequently transferred to Groveland Capital, LLC via transactions exempt from reporting under Rule 16a-13.

SEC source: 0000353184-19-000009 · primary_doc.xml · nonDerivative · entry 1

Swenson Nicholas John · CIK 0001478067 · Director · CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Groveland Capital, LLC

Disclosed balance after: 34,993

F1 · ownership.nature: The reported securities are owned directly by Groveland Capital, LLC and indirectly by Nicholas J. Swenson as the sole managing member and president of Groveland Capital, LLC. Nicholas J. Swenson disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. Included in the reported securities are shares that were previously owned by Groveland Hedged Credit Fund LLC and subsequently transferred to Groveland Capital, LLC via transactions exempt from reporting under Rule 16a-13.

SEC source: 0000353184-19-000008 · primary_doc.xml · nonDerivative · entry 1

Swenson Nicholas John · CIK 0001478067 · Director · CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Groveland Capital, LLC

Disclosed balance after: 34,919

F1 · ownership.nature: The reported securities are owned directly by Groveland Capital, LLC and indirectly by Nicholas J. Swenson as the sole managing member and president of Groveland Capital, LLC. Nicholas J. Swenson disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. Included in the reported securities are shares that were previously owned by Groveland Hedged Credit Fund LLC and subsequently transferred to Groveland Capital, LLC via transactions exempt from reporting under Rule 16a-13.

SEC source: 0000353184-19-000007 · primary_doc.xml · nonDerivative · entry 2

Swenson Nicholas John · CIK 0001478067 · Director · CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Groveland Capital, LLC

Disclosed balance after: 34,845

F1 · ownership.nature: The reported securities are owned directly by Groveland Capital, LLC and indirectly by Nicholas J. Swenson as the sole managing member and president of Groveland Capital, LLC. Nicholas J. Swenson disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. Included in the reported securities are shares that were previously owned by Groveland Hedged Credit Fund LLC and subsequently transferred to Groveland Capital, LLC via transactions exempt from reporting under Rule 16a-13.

SEC source: 0000353184-19-000007 · primary_doc.xml · nonDerivative · entry 1

Swenson Nicholas John · CIK 0001478067 · Director · CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Groveland Capital, LLC

Disclosed balance after: 34,771

F1 · ownership.nature: The reported securities are owned directly by Groveland Capital, LLC and indirectly by Nicholas J. Swenson as the sole managing member and president of Groveland Capital, LLC. Nicholas J. Swenson disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. Included in the reported securities are shares that were previously owned by Groveland Hedged Credit Fund LLC and subsequently transferred to Groveland Capital, LLC via transactions exempt from reporting under Rule 16a-13.

SEC source: 0000353184-19-000005 · primary_doc.xml · nonDerivative · entry 2

Swenson Nicholas John · CIK 0001478067 · Director · CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Groveland Capital, LLC

Disclosed balance after: 34,697

F1 · ownership.nature: The reported securities are owned directly by Groveland Capital, LLC and indirectly by Nicholas J. Swenson as the sole managing member and president of Groveland Capital, LLC. Nicholas J. Swenson disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. Included in the reported securities are shares that were previously owned by Groveland Hedged Credit Fund LLC and subsequently transferred to Groveland Capital, LLC via transactions exempt from reporting under Rule 16a-13.

SEC source: 0000353184-19-000006 · primary_doc.xml · nonDerivative · entry 2

Swenson Nicholas John · CIK 0001478067 · Director · CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Groveland Capital, LLC

Disclosed balance after: 34,697

F1 · ownership.nature: The reported securities are owned directly by Groveland Capital, LLC and indirectly by Nicholas J. Swenson as the sole managing member and president of Groveland Capital, LLC. Nicholas J. Swenson disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. Included in the reported securities are shares that were previously owned by Groveland Hedged Credit Fund LLC and subsequently transferred to Groveland Capital, LLC via transactions exempt from reporting under Rule 16a-13.

SEC source: 0000353184-19-000005 · primary_doc.xml · nonDerivative · entry 1

Swenson Nicholas John · CIK 0001478067 · Director · CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Groveland Capital, LLC

Disclosed balance after: 34,550

F1 · ownership.nature: The reported securities are owned directly by Groveland Capital, LLC and indirectly by Nicholas J. Swenson as the sole managing member and president of Groveland Capital, LLC. Nicholas J. Swenson disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. Included in the reported securities are shares that were previously owned by Groveland Hedged Credit Fund LLC and subsequently transferred to Groveland Capital, LLC via transactions exempt from reporting under Rule 16a-13.

SEC source: 0000353184-19-000006 · primary_doc.xml · nonDerivative · entry 1

Swenson Nicholas John · CIK 0001478067 · Director · CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Groveland Capital, LLC

Disclosed balance after: 34,550

F1 · ownership.nature: The reported securities are owned directly by Groveland Capital, LLC and indirectly by Nicholas J. Swenson as the sole managing member and president of Groveland Capital, LLC. Nicholas J. Swenson disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. Included in the reported securities are shares that were previously owned by Groveland Hedged Credit Fund LLC and subsequently transferred to Groveland Capital, LLC via transactions exempt from reporting under Rule 16a-13.

SEC source: 0000353184-19-000004 · primary_doc.xml · nonDerivative · entry 1

Swenson Nicholas John · CIK 0001478067 · Director · CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Groveland Capital, LLC

Disclosed balance after: 34,476

F1 · ownership.nature: The reported securities are owned directly by Groveland Capital, LLC and indirectly by Nicholas J. Swenson as the sole managing member and president of Groveland Capital, LLC. Nicholas J. Swenson disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. Included in the reported securities are shares that were previously owned by Groveland Hedged Credit Fund LLC and subsequently transferred to Groveland Capital, LLC via transactions exempt from reporting under Rule 16a-13.