BROADWOOD PARTNERS, L.P. - 02 Oct 2024 Form 4 Insider Report for Oncocyte Corp (OCX)

Role
10%+ Owner
Signature
Broadwood Partners, L.P., By Broadwood Capital, Inc., By: /s/ Neal C. Bradsher, President
Issuer symbol
OCX
Transactions as of
02 Oct 2024
Net transactions value
+$3,877,619
Form type
4
Filing time
04 Oct 2024, 19:00:42 UTC
Previous filing
13 May 2024
Next filing
18 Dec 2024
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction OCX Common Stock, no par value Purchase $3,877,619 +1,315,339 +27% $2.95 6,244,405 02 Oct 2024 Direct F1, F3
transaction OCX Common Stock, no par value Purchase $0 0 0% $0.000000* 6,244,405 02 Oct 2024 Footnote F1, F3
holding OCX Common Stock, no par value 157 02 Oct 2024 Direct F2

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
holding OCX Warrant to Purchase Common Stock 150,093 02 Oct 2024 Common Stock 150,093 $30.60 Direct F1, F4
holding OCX Warrant to Purchase Common Stock 150,093 02 Oct 2024 Common Stock 150,093 $30.60 Footnote F1, F4
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

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 October 2, 2024, Broadwood Partners entered into a Securities Purchase Agreement with Oncocyte Corporation (the "Issuer") pursuant to which Broadwood Partners agreed to acquire 1,315,339 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 $3,877,619.38, or $2.948 per Common Share.
F4 These warrants are currently exercisable.