Key facts
- This page summarizes John Peter Gutfreund's Form 4 filing for Oncocyte Corp (OCX).
- 2 reported transactions and 3 derivative rows are listed below.
- Accepted by SEC: 03 Jul 2023, 18:00.
John Peter Gutfreund - 30 Jun 2023 Form 4 Insider Report for Oncocyte Corp (OCX)
- Reporting relationship
- Former Director
- Issuer ticker
- OCX
- Reported as of
- 30 Jun 2023
- Net transaction value
- $0
- SEC form
- 4
- Accepted by SEC
- 03 Jul 2023, 18:00:08 UTC
- Prior SEC filing
- 05 Apr 2023
- Source filing
- View source filing
- Reporting owner signature
- /s/ John Peter Gutfreund
Source evidence
Original filing metadata and source links for verification.
4 source fields
Reporting owner
1 detail
Key filing fact
John Peter Gutfreund filed Form 4 for Oncocyte Corp (OCX) on 03 Jul 2023.
Change
- Previous filing in this sequence was filed on 05 Apr 2023.
- 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
View source filing
Ownership activity is grounded in SEC Form 4 disclosures.
Reported non-derivative transactions
Shares, units, or other non-derivative securities reported in this filing.
OCX
transaction
Common Stock, no par value
Other
- Transaction value
- $0
- Shares
- -3,085,047
- Change %
- -100%
- Price
- $0.000000*
- Shares after
- 0
- Date
- 30 Jun 2023
- Ownership
- See Footnotes
- Footnotes
- F1, F2, F3
OCX
holding
Common Stock, no par value
No transaction description listed
- Transaction value
- Shares
- Change %
- Price
- Shares after
- 3,079,372
- Date
- 30 Jun 2023
- Ownership
- See Footnotes
- Footnotes
- F3, F4, F5
OCX
holding
Common Stock, no par value
No transaction description listed
- Transaction value
- Shares
- Change %
- Price
- Shares after
- 25,000
- Date
- 30 Jun 2023
- Ownership
- See Footnotes
- Footnotes
- F3, F6
OCX
holding
Common Stock, no par value
No transaction description listed
- Transaction value
- Shares
- Change %
- Price
- Shares after
- 715,000
- Date
- 30 Jun 2023
- Ownership
- Direct
- Footnotes
- F7
Reported derivative securities
Options, warrants, convertible securities, or similar derivative positions disclosed in the filing.
OCX
transaction
Derivative
Warrants to Purchase Common Stock
Other
- Transaction value
- $0
- Shares
- -3,564,728
- Change %
- -100%
- Price
- $0.000000*
- Shares after
- 0
- Date
- 30 Jun 2023
- Ownership
- See Footnotes
- Underlying class
- Common Stock
- Underlying amount
- 3,001,876
- Exercise price
- $1.53
- Footnotes
- F3, F8, F9, F10
OCX
holding
Derivative
Warrants to Purchase Common Stock
No transaction description listed
- Transaction value
- Shares
- Change %
- Price
- Shares after
- 992,495
- Date
- 30 Jun 2023
- Ownership
- See Footnotes
- Underlying class
- Common Stock
- Underlying amount
- 835,785
- Exercise price
- $1.53
- Footnotes
- F3, F9, F11, F12
OCX
holding
Derivative
Warrants to Purchase Common Stock
No transaction description listed
- Transaction value
- Shares
- Change %
- Price
- Shares after
- 45,000
- Date
- 30 Jun 2023
- Ownership
- Direct
- Underlying class
- Common Stock
- Underlying amount
- 45,000
- Exercise price
- $0.9700
- Footnotes
- F13
* marks a reported price that did not pass the local price check.
Additional SEC filing notes
Filing notes and footnotes
Section 16 status
John Peter Gutfreund is no longer subject to Section 16 filing requirements. Form 4 or Form 5 obligations may still apply in specific circumstances.
Explanation of responses 13 footnotes
Footnote F1
Represents shares of Common Stock of Oncocyte Corporation (the "Issuer"), no par value (the "Common Stock"), that were distributed by Halle Special Situations Fund LLC (the "Halle Fund") on a pro rata basis to its members (the "Halle Common Stock Distribution").
Footnote F2
Represents shares of Common Stock directly beneficially owned by the Halle Fund. John Peter Gutfreund (the "Reporting Person") is the investment manager and a control person of Halle Capital Partners GP LLC, the managing member of the Halle Fund. In such capacity, the Reporting Person may be deemed to beneficially own any securities directly owned by the Halle Fund.
Footnote F3
The Reporting Person states that neither the filing of this statement nor anything herein shall be deemed an admission that such person is, for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or otherwise, the beneficial owner of any securities covered by this statement. The Reporting Person disclaims beneficial ownership of the securities covered by this statement, except to the extent of the pecuniary interest of the Reporting Person in such securities.
Footnote F4
Includes 2,004,372 shares of Common Stock received by Newtown Road 130 Holdings LLC ("Newtown") from the Halle Fund as a result of the Halle Common Stock Distribution. The acquisition of the shares of Common Stock by Newtown in the Halle Common Stock Distribution constituted a change in the form of beneficial ownership without a change in pecuniary interest that is exempt from Section 16 of the Exchange Act pursuant to Rule 16a-13 thereunder. Rule 16a-9(a) under the Exchange Act may also exempt the acquisition of the shares of Common Stock by Newtown in the Halle Common Stock Distribution from Section 16 of the Exchange Act.
Footnote F5
Represents shares of Common Stock directly beneficially owned by Newtown. The Reporting Person is the managing member and a control person of Newtown. In such capacity, the Reporting Person may be deemed to beneficially own any securities directly owned by Newtown.
Footnote F6
Represents shares of Common Stock held by or for the benefit of the minor children of the Reporting Person, and the Reporting Person has voting and dispositive control over such securities. In such capacity, the Reporting Person may be deemed to beneficially own any securities held by or for the benefit of the minor children of the Reporting Person.
Footnote F7
Includes 10,000 restricted stock units, which will vest on August 15, 2023.
Footnote F8
Represents warrants to purchase shares of Common Stock (the "Warrants") that were distributed by the Halle Fund on a pro rata basis to its members (the "Halle Warrant Distribution").
Footnote F9
The Warrants are currently exercisable, subject to a beneficial ownership limitation of 4.99%.
Footnote F10
Represents Warrants directly beneficially owned by the Halle Fund. The Reporting Person is the investment manager and a control person of Halle Capital Partners GP LLC, the managing member of the Halle Fund. In such capacity, the Reporting Person may be deemed to beneficially own any securities directly owned by the Halle Fund.
Footnote F11
Represents Warrants received by Newtown from the Halle Fund as a result of the Halle Warrant Distribution. The acquisition of the Warrants by Newtown in the Halle Warrant Distribution constituted a change in the form of beneficial ownership without a change in pecuniary interest that is exempt from Section 16 of the Exchange Act pursuant to Rule 16a-13 thereunder. Rule 16a-9(a) under the Exchange Act may also exempt the acquisition of the Warrants by Newtown in the Halle Warrant Distribution from Section 16 of the Exchange Act.
Footnote F12
Represents Warrants directly beneficially owned by Newtown. The Reporting Person is the managing member and a control person of Newtown. In such capacity, the Reporting Person may be deemed to beneficially own any securities directly owned by Newtown.
Footnote F13
The options to purchase shares of Common Stock will vest on August 15, 2023.