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

Reporting relationship: Former CEO, Director
Issuer ticker: OCX
Reported as of: 01 Dec 2022
Net transaction value: $0
SEC form: 4
Accepted by SEC: 09 Dec 2022, 19:23:24 UTC
Prior SEC filing: 18 Aug 2022
Next SEC filing: 10 Jan 2023
Source filing: View source filing
Reporting owner signature: /s/ Ronald Andrews

Key filing fact

Ronald Asbury Andrews filed Form 4 for Oncocyte Corp (OCX) on 09 Dec 2022.

Key facts

This page summarizes Ronald Asbury Andrews's Form 4 filing for Oncocyte Corp (OCX).
12 reported transactions and 11 derivative rows are listed below.
Accepted by SEC: 09 Dec 2022, 19:23.

Change

Previous filing in this sequence was filed on 18 Aug 2022.
Current net transaction value: $0.

Research use

This tells you what this filing adds before you inspect full transaction and derivative tables.
You can trace every row back to the original SEC filing document.

Evidence

Filed on Form 4

Ownership activity is grounded in SEC Form 4 disclosures.

View source filing

Reported non-derivative transactions

Shares, units, or other non-derivative securities reported in this filing.

OCX transaction

Common Stock, no par value

Options Exercise

Transaction value: $0
Shares: +250,000
Change %: +75%
Price: $0.000000
Shares after: 583,212
Date: 01 Dec 2022
Ownership: Direct

Reported derivative securities

Options, warrants, convertible securities, or similar derivative positions disclosed in the filing.

OCX transaction Derivative

Option to Purchase Common Stock

Disposed to Issuer

Transaction value: $0
Shares: -20,000
Change %: -100%
Price: $0.000000^*
Shares after: 0
Date: 01 Dec 2022
Ownership: Direct
Underlying class: Common Stock
Underlying amount: 20,000
Exercise price: $2.10
Footnotes: F1

OCX transaction Derivative

Option to Purchase Common Stock

Disposed to Issuer

Transaction value: $0
Shares: -45,000
Change %: -100%
Price: $0.000000^*
Shares after: 0
Date: 01 Dec 2022
Ownership: Direct
Underlying class: Common Stock
Underlying amount: 45,000
Exercise price: $2.40
Footnotes: F1

OCX transaction Derivative

Option to Purchase Common Stock

Disposed to Issuer

Transaction value: $0
Shares: -950,000
Change %: -100%
Price: $0.000000^*
Shares after: 0
Date: 01 Dec 2022
Ownership: Direct
Underlying class: Common Stock
Underlying amount: 950,000
Exercise price: $2.51
Footnotes: F1

OCX transaction Derivative

Option to Purchase Common Stock

Disposed to Issuer

Transaction value: $0
Shares: -50,000
Change %: -100%
Price: $0.000000^*
Shares after: 0
Date: 01 Dec 2022
Ownership: Direct
Underlying class: Common Stock
Underlying amount: 50,000
Exercise price: $1.68
Footnotes: F1

OCX transaction Derivative

Option to Purchase Common Stock

Disposed to Issuer

Transaction value: $0
Shares: -500,000
Change %: -100%
Price: $0.000000^*
Shares after: 0
Date: 01 Dec 2022
Ownership: Direct
Underlying class: Common Stock
Underlying amount: 500,000
Exercise price: $5.34
Footnotes: F1

OCX transaction Derivative

Option to Purchase Common Stock

Disposed to Issuer

Transaction value: $0
Shares: -300,000
Change %: -100%
Price: $0.000000^*
Shares after: 0
Date: 01 Dec 2022
Ownership: Direct
Underlying class: Common Stock
Underlying amount: 300,000
Exercise price: $1.15
Footnotes: F1

OCX transaction Derivative

Option to Purchase Common Stock

Disposed to Issuer

Transaction value: $0
Shares: -93,750
Change %: -25%
Price: $0.000000
Shares after: 281,250
Date: 01 Dec 2022
Ownership: Direct
Underlying class: Common Stock
Underlying amount: 93,750
Exercise price: $1.15
Footnotes: F1

OCX transaction Derivative

Restricted Stock Units

Disposed to Issuer

Transaction value: $0
Shares: -35,000
Change %: -100%
Price: $0.000000^*
Shares after: 0
Date: 01 Dec 2022
Ownership: Direct
Underlying class: Common Stock
Underlying amount: 35,000
Exercise price: $0.000000
Footnotes: F2

OCX transaction Derivative

Restricted Stock Units

Disposed to Issuer

Transaction value: $0
Shares: -250,000
Change %: -50%
Price: $0.000000
Shares after: 250,000
Date: 01 Dec 2022
Ownership: Direct
Underlying class: Common Stock
Underlying amount: 250,000
Exercise price: $0.000000
Footnotes: F2

OCX transaction Derivative

Restricted Stock Units

Options Exercise

Transaction value: $0
Shares: -250,000
Change %: -100%
Price: $0.000000^*
Shares after: 0
Date: 01 Dec 2022
Ownership: Direct
Underlying class: Common Stock
Underlying amount: 250,000
Exercise price: $0.000000
Footnotes: F2

OCX transaction Derivative

Option to Purchase Common Stock

Award

Transaction value: $0
Shares: +50,000
Change %
Price: $0.000000
Shares after: 50,000
Date: 07 Dec 2022
Ownership: Direct
Underlying class: Common Stock
Underlying amount: 50,000
Exercise price: $0.4644
Footnotes: F3

^* marks a reported price that did not pass the local price check.

Additional SEC filing notes

Filing notes and footnotes

Explanation of responses 3 footnotes

Footnote 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.

Footnote 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.

Footnote 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.