SEC Form 4 · accession 0001209191-15-079321
BIOCEPT INC · BIOC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ivor Royston
Director
Period of report
Nov 9, 2015
Accepted (ET)
Nov 10, 2015 · 4:51 pm EST
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 | Nov 9, 2015 | M | 9,285 | — | A | 34,878 | D |
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,F3 | — | Nov 9, 2015 | M | 9,285 | D | — | — | Common Stock | 9,285 | 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.
- F3The restricted stock units are fully vested.
Remarks
This Form 4 is being filed to report the issuance of shares of the Issuer's Common Stock underlying a Restricted Stock Unit (RSU) that was reported in Table II of the Reporting Person's Form 3. The RSU reported herein fully vested upon the closing of the Issuer's IPO, and the shares of the Issuer's Common Stock underlying the RSU's are now being issued.