PURA VIDA INVESTMENTS, LLC - 14 Apr 2023 Form 4 Insider Report for Oncocyte Corp (OCX)

Role
10%+ Owner
Signature
/s/ Efrem Kamen, Managing Member of Pura Vida Investments, LLC
Issuer symbol
OCX
Transactions as of
14 Apr 2023
Net transactions value
$0
Form type
4
Filing time
18 Apr 2023, 19:11:55 UTC
Previous filing
07 Apr 2023
SEC
View on sec.gov

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 517,245 14 Apr 2023 Common Stock 517,245 $1.53 By the Managed Accounts F1, F2, F3
holding OCX Warrant to purchase common stock 832,949 14 Apr 2023 Common Stock 832,949 $1.53 By Pura Vida Master Fund, Ltd. F1, F2, F3
holding OCX Warrant to purchase common stock 383,976 14 Apr 2023 Common Stock 383,976 $1.53 By Pura Vida X Fund LP F1, F2, F3
holding OCX Warrant to purchase common stock 690,719 14 Apr 2023 Common Stock 690,719 $1.53 By the Retirement Trust F1, F2, F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

PURA VIDA INVESTMENTS, LLC is no longer subject to Section 16 filing requirements. Form 4 or Form 5 obligations may continue.

Explanation of Responses:

Id Content
F1 As of the reporting date, the Warrants are subject to an ownership blocker provision that prevents the Reporting Persons from exercising the Warrants if they would have voting and dispositive power for more than 9.99% of the common stock outstanding following such exercise.
F2 Securities reported herein are owned by Pura Vida Master Fund, Ltd., Pura Vida X Fund LP, and Lockheed Martin Corporation Master Retirement Trust (the "Retirement Trust") and certain separately managed account(s) (the "Managed Accounts" and collectively, the "Client Accounts"). Pura Vida Investments, LLC ("PVI") serves as the investment manager to the Client Accounts. Efrem Kamen serves as the Managing Member of PVI.
F3 By virtue of these relationships, the Reporting Persons may be deemed to have shared voting and dispositive power with respect to the securities owned directly by the Client Accounts. This report shall not be deemed an admission that the Reporting Persons are beneficial owners of the securities for purposes of Sections 13 and 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of the Reporting Person's pecuniary interest therein, if any.