<SEC-DOCUMENT>0001553350-20-000492.txt : 20200528
<SEC-HEADER>0001553350-20-000492.hdr.sgml : 20200528
<ACCEPTANCE-DATETIME>20200528163034
ACCESSION NUMBER:		0001553350-20-000492
CONFORMED SUBMISSION TYPE:	SD
PUBLIC DOCUMENT COUNT:		1
<RULE>
<RULE-NAME>13p-1
<ITEM>
<ITEM-NUMBER>1.01
<ITEM-PERIOD>20191231
</ITEM>
</RULE>
FILED AS OF DATE:		20200528
DATE AS OF CHANGE:		20200528

FILER:

	COMPANY DATA:	
		COMPANY CONFORMED NAME:			PRO DEX INC
		CENTRAL INDEX KEY:			0000788920
		STANDARD INDUSTRIAL CLASSIFICATION:	SURGICAL & MEDICAL INSTRUMENTS & APPARATUS [3841]
		IRS NUMBER:				000000000
		STATE OF INCORPORATION:			CA

	FILING VALUES:
		FORM TYPE:		SD
		SEC ACT:		1934 Act
		SEC FILE NUMBER:	000-14942
		FILM NUMBER:		20921534

	BUSINESS ADDRESS:	
		STREET 1:		2361 MCGAW AVENUE
		CITY:			IRVINE
		STATE:			CA
		ZIP:			92614
		BUSINESS PHONE:		949-769-3231

	MAIL ADDRESS:	
		STREET 1:		2361 MCGAW AVENUE
		CITY:			IRVINE
		STATE:			CA
		ZIP:			92614

	FORMER COMPANY:	
		FORMER CONFORMED NAME:	PRO-DEX, INC.
		DATE OF NAME CHANGE:	20151110

	FORMER COMPANY:	
		FORMER CONFORMED NAME:	CONTEXT CAPITAL FUNDS
		DATE OF NAME CHANGE:	20151104

	FORMER COMPANY:	
		FORMER CONFORMED NAME:	PRO DEX INC
		DATE OF NAME CHANGE:	19920703
</SEC-HEADER>
<DOCUMENT>
<TYPE>SD
<SEQUENCE>1
<FILENAME>pdex_sd.htm
<DESCRIPTION>SPECIALIZED DISCLOSURE REPORT
<TEXT>
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<HEAD>
<TITLE>SPECIALIZED DISCLOSURE REPORT</TITLE>
<META NAME="keywords" CONTENT="&#10; &nbsp;">
<META NAME="author" CONTENT="Hal Hurwitz">
<META NAME="date" CONTENT="05/22/2017">
</HEAD>
<BODY style="margin-top:0;font-family:Times New Roman; font-size:10pt; color:#000000">
<P style="margin:0px; font-family:Calibri,Times New Roman; font-size:11pt" align=center>&nbsp;</P>
<P style="margin:0px" align=center><BR></P>
<P style="line-height:8pt; margin:0px; font-family:Calibri,Times New Roman; font-size:8pt" align=center>&nbsp;</P>
<P style="line-height:16pt; margin:0px; font-family:Calibri,Times New Roman; font-size:16pt" align=center><B>UNITED STATES</B></P>
<P style="line-height:16pt; margin:0px; font-family:Calibri,Times New Roman; font-size:16pt" align=center><B>SECURITIES AND EXCHANGE COMMISSION</B></P>
<P style="line-height:12pt; margin:0px; font-family:Calibri,Times New Roman; font-size:12pt" align=center><B>Washington, D.C. 20549</B></P>
<P style="line-height:10pt; margin:0px" align=center><BR></P>
<P style="line-height:10pt; margin:0px" align=center><BR></P>
<P style="line-height:16pt; margin:0px; font-family:Calibri,Times New Roman; font-size:16pt" align=center><B>Form SD</B></P>
<P style="line-height:10pt; margin:0px"><BR></P>
<P style="line-height:10pt; margin:0px; font-family:Calibri,Times New Roman" align=center><B>S</B><FONT style="font-size:6pt"><B>PECIALIZED</B></FONT><B>&nbsp;D</B><FONT style="font-size:6pt"><B>ISCLOSURE</B></FONT><B> R</B><FONT style="font-size:6pt"><B>EPORT</B></FONT></P>
<P style="line-height:10pt; margin:0px" align=center><BR></P>
<P style="line-height:20pt; margin:0px; font-family:Calibri,Times New Roman; font-size:20pt" align=center><B>Pro-Dex, Inc.</B></P>
<P style="line-height:8.75pt; margin:0px; font-family:Calibri,Times New Roman; font-size:8pt" align=center><I>(Exact Name of Registrant as Specified in Charter)</I></P>
<P style="margin:0px" align=center><BR></P>
<TABLE style="margin-top:0px; font-size:10pt" cellpadding=0 cellspacing=0 align=center><TR height=0 style="font-size:0"><TD width=237.4 /><TD width=9.133 /><TD width=169.6 /><TD width=9.133 /><TD width=237.533 /></TR>
<TR><TD style="margin-top:0px" valign=top width=237.4><P style="margin:0px; font-family:Calibri,Times New Roman" align=center><B>COLORADO</B></P>
</TD><TD style="margin-top:0px" valign=bottom width=9.133><P style="margin:0px; font-family:Calibri,Times New Roman">&nbsp;</P>
</TD><TD style="margin-top:0px" valign=top width=169.6><P style="margin:0px; font-family:Calibri,Times New Roman" align=center><B>000-14942</B></P>
</TD><TD style="margin-top:0px" valign=bottom width=9.133><P style="margin:0px; font-family:Calibri,Times New Roman">&nbsp;</P>
</TD><TD style="margin-top:0px" valign=top width=237.533><P style="margin:0px; font-family:Calibri,Times New Roman" align=center><B>84-1261240</B></P>
</TD></TR>
<TR><TD style="margin-top:0px" valign=top width=237.4><P style="margin:0px; font-family:Calibri,Times New Roman; font-size:8pt" align=center><I>(State or Other Jurisdiction of Incorporation)</I></P>
</TD><TD style="margin-top:0px" valign=bottom width=9.133><P style="margin:0px; font-family:Calibri,Times New Roman; font-size:8pt"><I>&nbsp;</I></P>
</TD><TD style="margin-top:0px" valign=top width=169.6><P style="margin:0px; font-family:Calibri,Times New Roman; font-size:8pt" align=center><I>(Commission File Number)</I></P>
</TD><TD style="margin-top:0px" valign=bottom width=9.133><P style="margin:0px; font-family:Calibri,Times New Roman; font-size:8pt"><I>&nbsp;</I></P>
</TD><TD style="margin-top:0px" valign=top width=237.533><P style="margin:0px; font-family:Calibri,Times New Roman; font-size:8pt" align=center><I>(IRS Employer Identification Number)</I></P>
</TD></TR>
</TABLE>
<P style="line-height:10pt; margin:0px" align=center><BR></P>
<TABLE style="margin-top:0px; font-size:10pt" cellpadding=0 cellspacing=0 align=center><TR height=0 style="font-size:0"><TD width=306.467 /><TD width=18.267 /><TD width=135.933 /></TR>
<TR><TD style="margin-top:0px" valign=top width=306.467><P style="margin:0px; font-family:Calibri,Times New Roman" align=center><B>2361 McGaw Avenue,</B></P>
<P style="margin:0px; font-family:Calibri,Times New Roman" align=center><B>Irvine, California</B></P>
</TD><TD style="margin-top:0px" valign=bottom width=18.267><P style="margin:0px; font-family:Calibri,Times New Roman">&nbsp;</P>
</TD><TD style="margin-top:0px" valign=bottom width=135.933><P style="margin:0px; font-family:Calibri,Times New Roman" align=center><B>92614</B></P>
</TD></TR>
<TR><TD style="margin-top:0px" valign=bottom width=306.467><P style="margin:0px; font-family:Calibri,Times New Roman; font-size:8pt" align=center><I>(Address of Principal Executive Offices)</I></P>
</TD><TD style="margin-top:0px" valign=bottom width=18.267><P style="margin:0px; font-family:Calibri,Times New Roman; font-size:8pt"><I>&nbsp;</I></P>
</TD><TD style="margin-top:0px" valign=bottom width=135.933><P style="margin:0px; font-family:Calibri,Times New Roman; font-size:8pt" align=center><I>(Zip Code)</I></P>
</TD></TR>
</TABLE>
<P style="line-height:10pt; margin:0px; font-family:Calibri,Times New Roman"><B>&nbsp;</B></P>
<TABLE style="margin-top:0px; font-size:10pt" cellpadding=0 cellspacing=0 align=center><TR height=0 style="font-size:0"><TD width=192.6 /><TD width=12.733 /><TD width=161.867 /></TR>
<TR><TD style="margin-top:0px" valign=bottom width=192.6><P style="margin:0px; font-family:Calibri,Times New Roman" align=center><B>Alisha K. Charlton</B></P>
</TD><TD style="margin-top:0px" valign=bottom width=12.733><P style="margin:0px; font-family:Calibri,Times New Roman">&nbsp;</P>
</TD><TD style="margin-top:0px" valign=bottom width=161.867><P style="margin:0px; font-family:Calibri,Times New Roman" align=center><B>(949)769-3231</B></P>
</TD></TR>
<TR><TD style="margin-top:0px" valign=bottom width=367.2 colspan=3><P style="margin:0px; font-family:Calibri,Times New Roman; font-size:8pt" align=center><I>&nbsp;(Name and telephone number, including area code, of the person to contact in connection with this report.)</I></P>
</TD></TR>
</TABLE>
<P style="line-height:10pt; margin:0px"><BR></P>
<P style="line-height:10pt; margin:0px"><BR></P>
<P style="line-height:10pt; margin:0px; font-family:Calibri,Times New Roman" align=justify>Check the appropriate box to indicate the rule pursuant to which this form is being filed, and provide the period to which the information in this form applies:</P>
<P style="line-height:8pt; margin:0px"><BR></P>
<P style="line-height:10pt; margin-top:0px; margin-bottom:-2px; width:24px; font-family:Wingdings; float:left">&#254;</P>
<P style="line-height:10pt; margin:0px; padding-left:24px; text-indent:-2px; font-family:Calibri,Times New Roman" align=justify>Rule 13p-1 under the Securities Exchange Act (17 CFR 240.13p-1) for the reporting period from January 1 to December 31, 2019.</P>
<P style="line-height:8pt; margin:0px; font-family:Calibri,Times New Roman; font-size:8pt; clear:left">&nbsp;</P>
<P style="line-height:8pt; margin:0px"><BR></P>
<P style="margin:0px"><BR></P>
<P style="margin:0px"><BR></P>
<A NAME="sA67992FE53A8FE263F39CE662119F5E2"></A><P style="line-height:10pt; margin:0px"><BR></P>
<P style="margin:0px"><BR></P>
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<BR></P>
<HR style="margin-bottom:9.6px; padding-top:9.6px" noshade size=1.333>
<P style="margin:0px; font-family:Calibri,Times New Roman; font-size:11pt; page-break-before:always" align=center>&nbsp;</P>
<P style="margin:0px" align=center><BR></P>
<P style="line-height:10pt; margin:0px"><BR></P>
<P style="line-height:10pt; margin:0px; font-family:Calibri,Times New Roman" align=justify><B>Section 1 - Conflict Minerals Disclosure</B></P>
<P style="line-height:12pt; margin:0px" align=justify><BR></P>
<P style="line-height:10pt; margin:0px; font-family:Calibri,Times New Roman" align=justify><B>Item 1.01 Conflict Minerals Disclosure</B></P>
<P style="line-height:10pt; margin:0px" align=justify><BR></P>
<A NAME="_Hlk41478018"></A><P style="line-height:10pt; margin:0px; font-family:Calibri,Times New Roman" align=justify>Pro-Dex, Inc. (&#147;Company,&#148; &#147;Pro-Dex,&#148; &#147;we,&#148; &#147;our,&#148; &#147;us&#148;) did not complete due diligence measures to determine the source of conflict minerals which we purchased during the period from January 1, 2019 to December&nbsp;31, 2019 due to, among other factors, turnover in responsible personnel and competing requirements to address COVID-19 related issues. &nbsp;We have no reason to believe that there would be any changes to respondents&#146; answers from the information reported in our Form SD filed with the Securities and Exchange Commission on May 29, 2019, and we did not introduce any new products in calendar year 2019 that would require responses from new suppliers.</P>
<P style="line-height:10pt; margin:0px" align=justify><BR></P>
<A NAME="_Hlk41478093"></A><P style="line-height:10pt; margin:0px; font-family:Calibri,Times New Roman" align=justify>We plan to continue our conflict mineral due diligence measures for calendar year 2020, including surveying our direct suppliers through an industry-standard survey template for conflict minerals, to try to determine the sources of these minerals, which we purchase through a complex supply chain. Currently, we do not have sufficient information from all our suppliers or other sources to determine the country of origin of the conflict minerals used in our products or to identify the facilities used to process those conflict minerals. &nbsp;Our disclosures concerning conflict minerals are available on our website at www.pro-dex.com/investor-relations.</P>
<P style="line-height:12pt; margin:0px" align=justify><BR></P>
<P style="line-height:10pt; margin:0px; font-family:Calibri,Times New Roman" align=justify><B>Section 2 - Exhibits</B></P>
<P style="line-height:12pt; margin:0px" align=justify><BR></P>
<P style="line-height:11.5pt; margin:0px; font-family:Calibri,Times New Roman" align=justify><B>Item 2.01 Exhibits</B></P>
<P style="line-height:12pt; margin:0px" align=justify><BR></P>
<P style="line-height:10pt; margin:0px; font-family:Calibri,Times New Roman" align=justify>None</P>
<P style="line-height:10pt; margin:0px"><BR></P>
<P style="margin:0px"><BR></P>
<A NAME="sc8cc7616cedf483baf3547a01a04d688"></A><P style="line-height:10pt; margin:0px"><BR></P>
<P style="line-height:11.05pt; margin:0px" align=center><BR>
<BR></P>
<HR style="margin-bottom:9.6px; padding-top:9.6px" noshade size=1.333>
<P style="margin:0px; font-family:Calibri,Times New Roman; font-size:11pt; page-break-before:always" align=center>&nbsp;</P>
<P style="margin:0px" align=center><BR></P>
<P style="line-height:11.05pt; margin:0px; font-family:Calibri,Times New Roman" align=center><B>SIGNATURES</B></P>
<P style="line-height:11.05pt; margin:0px"><BR></P>
<P style="line-height:11.05pt; margin:0px; font-family:Calibri,Times New Roman">Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the duly authorized undersigned.</P>
<P style="line-height:11.05pt; margin:0px"><BR></P>
<P style="line-height:11.05pt; margin:0px; font-family:Calibri,Times New Roman">Date: May 28, 2020</P>
<P style="line-height:11.05pt; margin:0px"><BR></P>
<DIV align=right><TABLE style="margin-top:0px; font-size:10pt" cellpadding=0 cellspacing=0><TR height=0 style="font-size:0"><TD width=277.2 /></TR>
<TR><TD style="margin-top:0px" valign=top width=277.2><P style="line-height:11.05pt; margin:0px; font-family:Calibri,Times New Roman"><B>PRO-DEX, INC.</B></P>
</TD></TR>
<TR><TD style="margin-top:0px" valign=top width=277.2><P style="margin:0px; padding:0px">&nbsp;</P></TD></TR>
<TR><TD style="margin-top:0px; border-bottom:1px solid #000000" valign=top width=277.2><P style="line-height:11.05pt; margin:0px; font-family:Calibri,Times New Roman">/s/ Alisha K. Charlton</P>
</TD></TR>
<TR><TD style="margin-top:0px" valign=top width=277.2><P style="line-height:11.05pt; margin:0px; font-family:Calibri,Times New Roman">Alisha K. Charlton</P>
<P style="line-height:11.05pt; margin:0px; font-family:Calibri,Times New Roman">&nbsp;Chief Financial Officer</P>
</TD></TR>
</TABLE></DIV>
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