FORM 4
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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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(Print or Type Responses)
1. Name and Address of Reporting Person *
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Lee Tom Y |
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2. Issuer Name and Ticker or Trading Symbol PURE BIOSCIENCE, INC. [PURE]
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5. Relationship of Reporting Person(s) to Issuer (Check all applicable)
__X__ Director
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_____ 10% Owner
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__X__ Officer (give title below)
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_____ Other (specify below)
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Chief Executive Officer
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1807 SAN GABRIEL BLVD. |
3. Date of Earliest Transaction (Month/Day/Year) 12/16/2020 |
SAN GABRIEL, CA 91776 |
4. If Amendment, Date Original Filed
(Month/Day/Year)
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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. Transaction Date (Month/Day/Year)
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2A. Deemed Execution Date, if any (Month/Day/Year)
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3. Transaction 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 | 12/16/2020 |
| P |
| 20,000 | A |
$0.665 (1) | 4,637,647 | D |
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Common Stock | 12/17/2020 |
| P |
| 4,712 | A |
$0.65 | 4,642,359 | D |
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Common Stock | 12/21/2020 |
| P |
| 7,859 | A |
$0.68 | 4,650,218 | D |
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Common Stock | 12/22/2020 |
| P |
| 45,299 | A |
$0.662 (2) | 4,695,517 | D |
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Common Stock | 12/24/2020 |
| P |
| 851 | A |
$0.65 | 4,696,368 | D |
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Common Stock |
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| 13,401,951 | I | By Plum Investments, L.P. (3) |
Common Stock |
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| 1,000,000 | I | By Kamika Shay Lee Trust Dated July 1, 2019 (4) |
Common Stock |
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| 1,000,000 | I | By Karissa Shay Lee Trust Dated July 1, 2019 (4) |
Common Stock |
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| 1,000,000 | I | By Tessa Melody Shin Trust Dated February 12, 2020 (4) |
Common Stock |
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| 717,665 | I | By wife |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |
| Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Transaction Date (Month/Day/Year)
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3A. Deemed Execution Date, if any (Month/Day/Year)
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4. Transaction Code (Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5)
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6. Date Exercisable and Expiration Date (Month/Day/Year)
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7. Title and Amount of Underlying Securities (Instr. 3 and 4)
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8. Price of Derivative Security (Instr. 5)
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9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Reporting Owners
Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Lee Tom Y 1807 SAN GABRIEL BLVD. SAN GABRIEL, CA 91776 |
X
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Chief Executive Officer |
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Signatures
/s/ Tom Lee | |
12/28/2020 |
**Signature of Reporting Person | Date |
Explanation of Responses:
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | This transaction was executed in multiple purchases through a purchase order executed by a broker-dealer at prices ranging from $0.66 to $0.67. The price reported in this column reflects the weighted average sale price. The Reporting Person will provide upon request to the SEC staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price. |
(2) | This transaction was executed in multiple purchases through a purchase order executed by a broker-dealer at prices ranging from $0.64 to $0.68. The price reported in this column reflects the weighted average sale price. The Reporting Person will provide upon request to the SEC staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price. |
(3) | Mr. Lee is the general partner of Plum Investments, L.P., and has ultimate voting and investment control over the shares held by Plum Investments, L.P. |
(4) | Mr. Lee is a trustee of the Kamika Shay Lee Trust Dated July 1, 2019, Karissa Shay Lee Trust Dated July 1, 2019 and Tessa Melody Shin Trust Dated February 12, 2020 and has voting and dispositive power with respect to these shares |
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB number.
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