Statement of Changes in Beneficial Ownership (4)
20 Décembre 2022 - 10:06PM
Edgar (US Regulatory)
FORM 4
[ ] Check this box if no longer subject to Section
16. Form 4 or Form 5 obligations may continue. See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL
OWNERSHIP OF SECURITIES
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OMB
APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response... 0.5 |
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Filed pursuant to Section 16(a) of the
Securities Exchange Act of 1934 or Section 30(h) of the Investment
Company Act of 1940
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1. Name
and Address of Reporting Person * Ross Douglas
T. |
2. Issuer Name and Ticker or Trading
Symbol Oncocyte Corp [ OCX ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)_____
Director _____
10% Owner
__X__ Officer (give title
below) _____ Other
(specify below)
Former CSO. |
(Last)
(First)
(Middle)
C/O ONCOCYTE CORPORATION, 15 CUSHING |
3. Date of Earliest Transaction (MM/DD/YYYY)
12/16/2022
|
(Street)
IRVINE, CA 92618
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line) _X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person |
Table I - Non-Derivative Securities Acquired, Disposed of, or
Beneficially Owned
|
1.Title of Security
(Instr. 3) |
2. Trans. Date |
2A. Deemed Execution Date, if any |
3. Trans. Code
(Instr. 8) |
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned Following
Reported Transaction(s)
(Instr. 3 and 4) |
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4) |
7. Nature of Indirect Beneficial Ownership (Instr.
4) |
Code |
V |
Amount |
(A) or (D) |
Price |
Common Stock, no par value (1) |
12/1/2022 |
|
D |
|
150000 |
D |
$0 |
20317 |
D |
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Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible
securities)
|
1. Title of Derivate Security
(Instr. 3) |
2. Conversion or Exercise Price of Derivative
Security |
3. Trans. Date |
3A. Deemed Execution Date, if any |
4. Trans. Code
(Instr. 8) |
5. Number of Derivative Securities Acquired (A) or
Disposed of (D)
(Instr. 3, 4 and 5) |
6. Date Exercisable and Expiration Date |
7. Title and Amount of Securities Underlying
Derivative Security
(Instr. 3 and 4) |
8. Price of Derivative Security
(Instr. 5) |
9. Number of derivative Securities Beneficially
Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct
(D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr.
4) |
Code |
V |
(A) |
(D) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
Option to Purchase Common
Stock |
$1.93 |
12/16/2022 |
|
D |
|
|
83334 |
(2) |
(2) |
Common Stock |
83334 |
$0 |
166666 |
D |
|
Option to Purchase Common
Stock |
$5.34 |
12/16/2022 |
|
D |
|
|
143438 |
(2) |
(2) |
Common Stock |
143438 |
$0 |
111562 |
D |
|
Option to Purchase Common
Stock |
$1.15 |
12/16/2022 |
|
D |
|
|
100000 |
(2) |
(2) |
Common Stock |
100000 |
$0 |
0 |
D |
|
Option to Purchase Common
Stock |
$1.15 |
12/16/2022 |
|
D |
|
|
100000 |
(2) |
(2) |
Common Stock |
100000 |
$0 |
0 |
D |
|
Explanation of
Responses: |
(1) |
The restricted stock units
were forfeited by mutual agreement of the Reporting Person and the
Issuer in connection with a severance agreement entered into as a
result of the Reporting Person's resignation as an officer and
director of the Issuer on December 16, 2022. Any remaining
restricted stock units immediately vested on December 16,
2022. |
(2) |
The options were forfeited
by mutual agreement of the Reporting Person and the Issuer in
connection with a severance agreement entered into as a result of
the Reporting Person's resignation as an officer and director of
the Issuer on December 16, 2022. Any remaining options immediately
vested and became exercisable as of December 16, 2022. |
Reporting
Owners
|
Reporting Owner Name / Address |
Relationships
|
Director |
10% Owner |
Officer |
Other |
Ross Douglas T.
C/O ONCOCYTE CORPORATION
15 CUSHING
IRVINE, CA 92618 |
|
|
Former CSO. |
|
Signatures
|
/s/ Douglas Ross |
|
12/20/2022 |
**Signature of
Reporting Person |
Date |
Reminder: Report on a separate line for each class
of securities beneficially owned directly or
indirectly. |
* |
If the form is filed by more than one
reporting person, see Instruction 4(b)(v). |
** |
Intentional misstatements or omissions
of facts constitute Federal Criminal Violations. See 18
U.S.C. 1001 and 15 U.S.C. 78ff(a). |
Note: |
File three copies of this Form, one of
which must be manually signed. If space is insufficient, see
Instruction 6 for procedure. |
Persons who respond to the collection of information
contained in this form are not required to respond unless the form
displays a currently valid OMB control number. |
OncoCyte (AMEX:OCX)
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