| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | OCX | Common Stock, no par value | Purchase | $7,057,688 | +2,420,000 | +96% | $2.92 | 4,929,066 | 11 Apr 2024 | Direct | F1, F3 |
| transaction | OCX | Common Stock, no par value | Purchase | $0 | 0 | 0% | $0.000000* | 4,929,066 | 11 Apr 2024 | Footnote | F1, F3 |
| holding | OCX | Common Stock, no par value | 157 | 11 Apr 2024 | Direct | F2 |
| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Underlying Class | Amount | Exercise Price | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | OCX | Series A Convertible Preferred Stock | Other | -2,941 | -100% | 0 | 15 Apr 2024 | Common Stock | 107,488 | $30.60 | Direct | F1, F4 | ||
| transaction | OCX | Series A Convertible Preferred Stock | Other | 0 | 0 | 15 Apr 2024 | Common Stock | 107,488 | $30.60 | Footnote | F1, F4 | |||
| holding | OCX | Warrant to Purchase Common Stock | 150,093 | 11 Apr 2024 | Common Stock | 150,093 | $30.60 | Direct | F1, F5 | |||||
| holding | OCX | Warrant to Purchase Common Stock | 150,093 | 11 Apr 2024 | Common Stock | 150,093 | $30.60 | Footnote | F1, F5 |
| Id | Content |
|---|---|
| F1 | The reported securities are directly owned by Broadwood Partners, L.P. ("Broadwood Partners") and may be deemed to be beneficially owned by each of: (i) Broadwood Capital, Inc. ("Broadwood Capital"), as General Partner of Broadwood Partners; and (ii) Neal C. Bradsher, as President of Broadwood Capital. Each Reporting Person disclaims beneficial ownership of the reported securities except to the extent of its or his pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. |
| F2 | These securities are directly owned by Neal C. Bradsher |
| F3 | On April 11, 2024, Broadwood Partners entered into a Securities Purchase Agreement with Oncocyte Corporation (the "Issuer") pursuant to which Broadwood Partners agreed to acquire 2,420,000 shares of the Issuer's Common Stock, no par value (the "Common Shares"), from the Issuer in a private placement for a total purchase price of $7,057,688, or $2.9164 per Common Share. |
| F4 | On April 15, 2024, the Issuer mandatorily redeemed all of the 2,941.1765 shares of Series A Convertible Preferred Stock of the Issuer (the "Series A Shares") previously owned by Broadwood Partners in accordance with the terms of the Securities Purchase Agreement with the Issuer to which Broadwood Partners acquired the Series A Shares (the "Series A Purchase Agreement"). Pursuant to the Series A Purchase Agreement, Broadwood Partners received $3,289,144.18, or $1,118.30902 per Series A Share, in redemption proceeds attributable to the Issuer's mandatory redemption. The Series A Shares were convertible at the time of the Issuer's mandatory redemption |
| F5 | These warrants are currently exercisable. |
The number of securities reported as being beneficially owned by the Reporting Persons reflects the Issuer's 1-for-20 reverse stock split of the Common Shares that became effective at 5pm Pacific time on July 24, 2023.