SEC Form 4 · accession 0001209191-16-146606
BIOCEPT INC · BIOC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Edward A. Neff
Director
Period of report
Oct 19, 2016
Accepted (ET)
Oct 21, 2016 · 5:06 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,F2 | Oct 19, 2016 | P | 227,272 | $1.10 | A | 289,735 | I | By corporation |
| Common StockF3 | holding | — | — | — | 37,638 | 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 | $1.10 | Oct 19, 2016 | P | 227,272 | A | Oct 19, 2016 | Oct 19, 2021 | Common Stock | 227,272 | 227,272 | 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 one share of Common Stock for $1.10 per unit.
- F2On September 27, 2016, the Issuer effected a 1-for-3 reverse stock split resulting in the reporting person's ownership of 124,923 fewer shares.
- F3On September 27, 2016, the Issuer effected a 1-for-3 reverse stock split resulting in the reporting person's ownership of 75,276 fewer shares.