SEC Form 4 · accession 0001209191-16-103902
BIOCEPT INC · BIOC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael W. Nall
Officer — CEO & President · Director
Period of report
Feb 29, 2016
Accepted (ET)
Mar 1, 2016 · 4:09 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 | Feb 29, 2016 | A | 13,348 | $0.00 | A | 39,634 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee stock option (right to buy)F2 | $1.34 | Feb 29, 2016 | A | 50,000 | A | — | Feb 28, 2026 | Common Stock | 50,000 | 50,000 | D |
Explanation of responses
- F1Shares were issued upon the vesting of a restricted stock unit pursuant to the achievement of performance criteria.
- F225% of the shares subject to the option shall vest on the first annual anniversary of the Vesting Commencement Date (2/29/16) with the balance vesting in equal monthly installments thereafter until fully vested on February 29, 2020.