Statement of Changes in Beneficial Ownership (4)
May 18 2020 - 4:38PM
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
*
WHITMORE BRADFORD T |
2. Issuer Name and Ticker or Trading Symbol
ULTRALIFE CORP
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ULBI
]
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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)
5/14/2020 |
(Street)
EVANSTON, IL 60201
(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; $.10 par value | 5/14/2020 | | P | | 5000 | A | $7.4293 (1) | 563902 | D | |
Common Stock; $.10 par value | | | | | | | | 4452283 | I (2) | By Sunray I, LLC |
Common Stock; $.10 par value | | | | | | | | 518616 | I (3) | By Grace Brothers, LP |
Common Stock; $.10 par value | | | | | | | | 3272 | I | by daughter |
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) | The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $7.3431 to $7.50. The reporting person undertakes to provide, upon request of 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 the Form 4. |
(2) | 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. |
(3) | 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
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
WHITMORE BRADFORD T 1603 ORRINGTON AVE., STE 900 EVANSTON, IL 60201 | X | X |
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Signatures
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Braford T. Whitmore | | 5/18/2020 |
**Signature of Reporting Person | Date |
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