SEC Form 4 · accession 0001209191-16-146423
Insight Molecular Diagnostics Inc. · IMDX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Don M Bailey
Director
Period of report
Oct 17, 2016
Accepted (ET)
Oct 19, 2016 · 9:24 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001642380
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | holding | — | — | — | 247,001 | 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,F2 | $3.25 | Oct 17, 2016 | A | 230,769 | A | — | — | Common Stock | 230,769 | 230,769 | D |
Explanation of responses
- F1The shares are held by Mr. Bailey and his wife as co-trustees of a revocable trust, and in such capacity Mr. Bailey and his wife have shared voting and dispositive power over the shares.
- F2These warrants became exercisable on October 17, 2016, the date shareholders approved the issuance of OncoCyte common stock upon exercise of the warrants, and may be exercised for five years from the date they became exercisable.