Statement of Changes in Beneficial Ownership (4)
March 17 2020 - 04:46PM
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 |
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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
|
|
| 1. Name
and Address of Reporting Person * WHITMORE BRADFORD
T |
2. Issuer Name and Ticker or Trading
Symbol ULTRALIFE CORP [ ULBI ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)__X__
Director __X__
10% Owner
_____ Officer (give title
below) _____ Other
(specify below)
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|
(Last)
(First)
(Middle)
1603 ORRINGTON AVE., STE 900 |
3. Date of Earliest Transaction (MM/DD/YYYY)
3/13/2020
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|
(Street)
EVANSTON, IL 60201
(City)
(State)
(Zip)
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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 par
value |
3/13/2020 |
|
P |
|
15972 |
A |
$5.6857 (1) |
504874 |
D |
|
|
Common Stock; $.10 par
value |
3/16/2020 |
|
P |
|
1703 |
A |
$5.2343 (2) |
506577 |
D |
|
|
Common Stock; $.10 par
value |
3/17/2020 |
|
P |
|
30092 |
A |
$5.3673 (3) |
536669 |
D |
|
|
Common Stock; $.10 par
value |
3/17/2020 |
|
P |
|
2233 |
A |
$6.1893 (4) |
538902 |
D |
|
|
Common Stock; $.10 par
value |
|
|
|
|
|
|
|
4452283 |
I (5) |
By Sunray I, LLC |
|
Common Stock; $.10 par
value |
|
|
|
|
|
|
|
518616 |
I (6) |
By Grace Brothers, LP |
|
Common Stock; $.10 par
value |
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|
|
|
|
|
|
3272 |
I |
By daughter |
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 price reported is a
weighted average price. These shares were purchased in multiple
transactions at prices ranging from $5.65 to $5.7057. The reporting
person undertakes to provide, upon request by the staff of the SEC,
the issuer, or a security holder of the issuer, full information
regarding the number of shares transacted at each price, with
respect to all transactions reported on this Form 4. |
| (2) |
The price reported is a
weighted average price. These shares were purchased in multiple
transactions at prices ranging from $5.20 to $5.245. The reporting
person undertakes to provide, upon request by the staff of the SEC,
the issuer, or a security holder of the issuer, full information
regarding the number of shares transacted at each price, with
respect to all transactions reported on this Form 4. |
| (3) |
The price reported is a
weighted average price. These shares were purchased in multiple
transactions at prices ranging from $5.0286 to $5.70. The reporting
person undertakes to provide, upon request by the staff of the SEC,
the issuer, or a security holder of the issuer, full information
regarding the number of shares transacted at each price, with
respect to all transactions reported on this Form 4. |
| (4) |
The price reported is a
weighted average price. These shares were purchased in multiple
transactions at prices ranging from $6.17 to $6.19. The reporting
person undertakes to provide, upon request by the staff of the SEC,
the issuer, or a security holder of the issuer, full information
regarding the number of shares transacted at each price, with
respect to all transactions reported on this Form 4. |
| (5) |
As sole manager and sole
voting member of Sunray I, LLC, Bradford T. Whitmore is an indirect
beneficial owner of 4,452,283 shares of Common Stock. |
| (6) |
As manager of BRO-GP, LLC,
Grace Brothers, LP's General Partner, Bradford T. Whitmore is an
indirect beneficial owner of 518,616 shares of Common
Stock. |
Reporting
Owners
|
|
Reporting Owner Name / Address |
Relationships
|
|
Director |
10% Owner |
Officer |
Other |
WHITMORE BRADFORD T
1603 ORRINGTON AVE., STE 900
EVANSTON, IL 60201 |
X |
X |
|
|
Signatures
|
|
Bradford T. Whitmore |
|
3/17/2020 |
| **Signature of
Reporting Person |
Date |
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