Statement of Changes in Beneficial Ownership (4)
January 10 2020 - 4:59PM
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
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Richey Robert Jason |
2. Issuer Name and Ticker or Trading Symbol
CUTERA INC
[
CUTR
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) President |
(Last)
(First)
(Middle)
C/O CUTERA, INC., 3240 BAYSHORE BLVD |
3. Date of Earliest Transaction
(MM/DD/YYYY)
1/9/2020 |
(Street)
BRISBANE, CA 94005
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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COMMON STOCK | 1/9/2020 | | F | | 1444 (1) | D | $0 | 130830 (3) | D | |
COMMON STOCK | 1/9/2020 | | F | | 7420 (2) | D | $0 | 123410 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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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) | Represents the total number of shares withheld by the Company to settle the Reporting Person's minimum tax liability for 5,180 Restricted Stock Units (RSUs) vesting on January 1, 2020 and released on January 9,2020. Such withholding is required by the Company's Amended 2019 Equity Incentive Plan. |
(2) | Represents the total number of shares withheld by the Company to settle the Reporting Person's minimum tax liability for 27,159 Restricted Stock Units (RSUs) vesting on January 1, 2020 and released on January 9,2020. Such withholding is required by the Company's Amended 2019 Equity Incentive Plan. |
(3) | The amount of securities beneficially owned includes 1,349 shares acquired on November 1, 2019 by the Reporting Person in an exempt transaction under the Issuer's Amended 2004 Employee Stock Purchase Plan. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Richey Robert Jason C/O CUTERA, INC. 3240 BAYSHORE BLVD BRISBANE, CA 94005 |
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| President |
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Signatures
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/s/ DARREN ALCH P.O.A. | | 1/10/2020 |
**Signature of Reporting Person | Date |
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