SEC Form 4 · accession 0001209191-17-037197
BIOCEPT INC · BIOC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Lyle J Arnold
Officer — SR VP of R&D and CSO
Period of report
May 31, 2017
Accepted (ET)
Jun 2, 2017 · 4:12 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 | May 31, 2017 | A | 25,000 | $0.00 | A | 90,238 | 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 | $1.50 | May 31, 2017 | A | 75,000 | A | — | May 30, 2027 | Common Stock | 75,000 | 75,000 | D |
Explanation of responses
- F125% of the shares subject to the option shall vest on the first annual anniversary of the Vesting Commencement Date (5/2/17) with the balance vesting in equal monthly installments thereafter until fully vested on May 2, 2020.