Ronald Asbury Andrews - 01 Dec 2022 Form 4 Insider Report for Oncocyte Corp (OCX)

Role
Former CEO, Director
Signature
/s/ Ronald Andrews
Issuer symbol
OCX
Transactions as of
01 Dec 2022
Net transactions value
$0
Form type
4
Filing time
09 Dec 2022, 19:23:24 UTC
Previous filing
18 Aug 2022
Next filing
10 Jan 2023
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 Options Exercise $0 +250,000 +75% $0.000000 583,212 01 Dec 2022 Direct

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
transaction OCX Option to Purchase Common Stock Disposed to Issuer $0 -20,000 -100% $0.000000* 0 01 Dec 2022 Common Stock 20,000 $2.10 Direct F1
transaction OCX Option to Purchase Common Stock Disposed to Issuer $0 -45,000 -100% $0.000000* 0 01 Dec 2022 Common Stock 45,000 $2.40 Direct F1
transaction OCX Option to Purchase Common Stock Disposed to Issuer $0 -950,000 -100% $0.000000* 0 01 Dec 2022 Common Stock 950,000 $2.51 Direct F1
transaction OCX Option to Purchase Common Stock Disposed to Issuer $0 -50,000 -100% $0.000000* 0 01 Dec 2022 Common Stock 50,000 $1.68 Direct F1
transaction OCX Option to Purchase Common Stock Disposed to Issuer $0 -500,000 -100% $0.000000* 0 01 Dec 2022 Common Stock 500,000 $5.34 Direct F1
transaction OCX Option to Purchase Common Stock Disposed to Issuer $0 -300,000 -100% $0.000000* 0 01 Dec 2022 Common Stock 300,000 $1.15 Direct F1
transaction OCX Option to Purchase Common Stock Disposed to Issuer $0 -93,750 -25% $0.000000 281,250 01 Dec 2022 Common Stock 93,750 $1.15 Direct F1
transaction OCX Restricted Stock Units Disposed to Issuer $0 -35,000 -100% $0.000000* 0 01 Dec 2022 Common Stock 35,000 $0.000000 Direct F2
transaction OCX Restricted Stock Units Disposed to Issuer $0 -250,000 -50% $0.000000 250,000 01 Dec 2022 Common Stock 250,000 $0.000000 Direct F2
transaction OCX Restricted Stock Units Options Exercise $0 -250,000 -100% $0.000000* 0 01 Dec 2022 Common Stock 250,000 $0.000000 Direct F2
transaction OCX Option to Purchase Common Stock Award $0 +50,000 $0.000000 50,000 07 Dec 2022 Common Stock 50,000 $0.4644 Direct F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 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 1, 2022. Any remaining options immediately vested and became exercisable as of December 1, 2022.
F2 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 1, 2022. Any remaining restricted stock units immediately vested on December 1, 2022.
F3 Options vest (and thereby become exercisable) as follows: (i) one-third on December 31, 2022, (ii) one-third on January 31, 2023, and (iii) one-third on February 28, 2023 (each such date, a "Vesting Date"), in each case, subject to the Reporting Person's continuous service as a consultant on each applicable Vesting Date.