SEC Form 4 · accession 0001209191-16-117955
BIOCEPT INC · BIOC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Bruce Gerhardt
Director
Period of report
May 4, 2016
Accepted (ET)
May 5, 2016 · 8:27 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 | May 4, 2016 | P | 25,000 | $1.00 | A | 58,985 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Warrant to Purchase Common StockF1 | $1.30 | May 4, 2016 | P | 17,500 | A | May 4, 2016 | May 4, 2021 | Common Stock | 17,500 | 17,500 | D |
Explanation of responses
- F1Shares were purchased from the issuer in a unit offering, with each unit consisting of one share of Common Stock and one warrant to purchase .70 shares of Common Stock for $1.00 per unit.