SEC Form 4 · accession 0001209191-15-067843
BIOCEPT INC · BIOC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David F Hale
Officer — Chairman · Director
Period of report
Aug 24, 2015
Accepted (ET)
Aug 25, 2015 · 5:34 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001044378
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Aug 24, 2015 | M | 14,286 | — | A | 24,490 | D | |
| Common Stock | holding | — | — | — | 94,570 | I | By LLC |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1,F2 | — | Aug 24, 2015 | M | 14,286 | D | — | Aug 24, 2015 | Common Stock | 14,286 | 0 | D |
Explanation of responses
- F1Each restricted stock unit represents the right to receive one share of the Issuer's common stock.
- F2The restricted stock units are fully vested. Pursuant to the terms of the restricted stock unit agreement entered into with the reporting person, settlement of the vested restricted stock units takes place on the earliest to occur of (a) August 24, 2015 or (b) other triggering events identified in the restricted stock unit agreement.