SEC Form 4 · accession 0001209191-16-134679
BIOCEPT INC · BIOC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Timothy Kennedy
Officer — CFO, Sr V.P. Operations & Sec.
Period of report
Jul 29, 2016
Accepted (ET)
Aug 1, 2016 · 5:28 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 Stock | Jul 29, 2016 | A | 75,000 | $0.00 | A | 75,000 | 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)F1 | $0.65 | Jul 29, 2016 | A | 200,000 | A | — | Jul 28, 2026 | Common Stock | 200,000 | 200,000 | D |
Explanation of responses
- F125% of the shares subject to the option shall vest on the first annual anniversary of the Vesting Commencement Date (7/25/16) with the balance vesting in equal monthly installments thereafter until fully vested on July 25, 2019.