SEC Form 4 · accession 0001209191-16-146605

BIOCEPT INC · BIOC

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Director

Period of report

Oct 19, 2016

Accepted (ET)

Oct 21, 2016 · 5:04 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^F1,F2	Jun 16, 2016	G	13,334	$0.00	D	18,190	I	By LLC
Common Stock^F1,F3	Jun 16, 2016	G	13,334	$0.00	A	16,736	I	By trust
Common Stock^F4	Oct 19, 2016	P	90,909	$1.10	A	109,099	I	By LLC
Common Stock^F5	holding	—	—		—	42,718	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Warrant to Purchase Common Stock^F4	$1.10	Oct 19, 2016	P	90,909	A	Oct 19, 2016	Oct 19, 2021	Common Stock	90,909	90,909	I

F1As adjusted for the 1-for-3 reverse stock split effected September 27, 2016.
F2On September 27, 2016, the Issuer effected a 1-for-3 reverse stock split resulting in the reporting person's ownership of 36,380 fewer shares.
F3On September 27, 2016, the Issuer effected a 1-for-3 reverse stock split resulting in the reporting person's ownership of 33,468 fewer shares.
F4Shares were purchased from the issuer in a unit offering, with each unit consisting of one share of Common Stock and one warrant to purchase one share of Common Stock for $1.10 per unit.
F5On September 27, 2016, the Issuer effected a 1-for-3 reverse stock split resulting in the reporting person's ownership of 85,434 fewer shares.