SEC Form 4 · accession 0001209191-16-146646
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
Oct 19, 2016
Accepted (ET)
Oct 21, 2016 · 6:43 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 | Apr 30, 2015 | G | 4,000 | $0.00 | D | 34,212 | D | |
| Common StockF3 | Apr 30, 2015 | G | 4,000 | $0.00 | A | 4,000 | I | By trust |
| Common StockF1 | Sep 1, 2015 | G | 4,762 | $0.00 | D | 29,450 | D | |
| Common StockF4 | Sep 1, 2015 | G | 4,762 | $0.00 | A | 8,762 | I | By trust |
| Common StockF1 | Mar 9, 2016 | G | 4,450 | $0.00 | D | 25,000 | D | |
| Common StockF5 | Mar 9, 2016 | G | 4,450 | $0.00 | A | 13,212 | I | By trust |
| Common StockF6 | Oct 19, 2016 | P | 36,363 | $1.10 | A | 49,575 | I | By trust |
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 StockF6 | $1.10 | Oct 19, 2016 | P | 36,363 | A | Oct 19, 2016 | Oct 19, 2021 | Common Stock | 36,363 | 36,363 | D |
Explanation of responses
- 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 68,422 fewer shares.
- F3On September 27, 2016, the Issuer effected a 1-for-3 reverse stock split resulting in the reporting person's ownership of 8,000 fewer shares.
- F4On September 27, 2016, the Issuer effected a 1-for-3 reverse stock split resulting in the reporting person's ownership of 9,524 fewer shares.
- F5On September 27, 2016, the Issuer effected a 1-for-3 reverse stock split resulting in the reporting person's ownership of 8,898 fewer shares.
- F6Shares 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.