Statement of Changes in Beneficial Ownership (4)
April 07 2020 - 4:12PM
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
*
Mowry David H |
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)
__X__ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Chief Executive Officer |
(Last)
(First)
(Middle)
C/O CUTERA, INC., 3240 BAYSHORE BLVD |
3. Date of Earliest Transaction
(MM/DD/YYYY)
4/1/2020 |
(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 | 4/1/2020 (3) | | A | | 20681 (1) | A | $0 | 112962 | D | |
COMMON STOCK | 4/1/2020 (3) | | F | | 6032 (2) | D | $12.60 | 106930 | 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) | Grant of Restricted Stock Units (RSUs) that entitle the Reporting Person to receive one share of Common Stock per one RSU. The RSUs are fully vested as of April 1, 2020. |
(2) | Represents the total number of shares withheld by the Company to settle the Reporting Person's minimum tax liability for 20,681 Restricted Stock Units (RSUs) vesting on April 1, 2020. Such withholding is required by the Company's 2019 Equity Incentive Plan. |
(3) | The delay in reporting the transactions in this Form 4 is due in part to challenges related to the COVID-19 pandemic. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Mowry David H C/O CUTERA, INC. 3240 BAYSHORE BLVD BRISBANE, CA 94005 | X |
| Chief Executive Officer |
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Signatures
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/s/ DARREN ALCH P.O.A. | | 4/7/2020 |
**Signature of Reporting Person | Date |
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