0000919574-17-005589.txt : 20170725
0000919574-17-005589.hdr.sgml : 20170725
20170725171445
ACCESSION NUMBER: 0000919574-17-005589
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20170721
FILED AS OF DATE: 20170725
DATE AS OF CHANGE: 20170725
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: BRADSHER NEAL C
CENTRAL INDEX KEY: 0001278388
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37648
FILM NUMBER: 17981077
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: BROADWOOD PARTNERS, L.P.
CENTRAL INDEX KEY: 0001278386
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37648
FILM NUMBER: 17981079
BUSINESS ADDRESS:
STREET 1: BROADWOOD CAPITAL INC.
STREET 2: 724 FIFTH AVENUE, 9TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10019
BUSINESS PHONE: 212-508-5735
MAIL ADDRESS:
STREET 1: BROADWOOD CAPITAL INC.
STREET 2: 724 FIFTH AVENUE, 9TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10019
FORMER NAME:
FORMER CONFORMED NAME: BROADWOOD PARTNERS LP
DATE OF NAME CHANGE: 20040202
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: BROADWOOD CAPITAL INC
CENTRAL INDEX KEY: 0001278387
STATE OF INCORPORATION: NY
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37648
FILM NUMBER: 17981078
BUSINESS ADDRESS:
STREET 1: 724 FIFTH AVENUE
STREET 2: 9TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10019
BUSINESS PHONE: 212-508-5735
MAIL ADDRESS:
STREET 1: 724 FIFTH AVENUE
STREET 2: 9TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10019
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: OncoCyte Corp
CENTRAL INDEX KEY: 0001642380
STANDARD INDUSTRIAL CLASSIFICATION: IN VITRO & IN VIVO DIAGNOSTIC SUBSTANCES [2835]
IRS NUMBER: 271041563
STATE OF INCORPORATION: CA
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 1010 ATLANTIC AVENUE
STREET 2: SUITE 102
CITY: ALAMEDA
STATE: CA
ZIP: 94501
BUSINESS PHONE: 510-775-0515
MAIL ADDRESS:
STREET 1: 1010 ATLANTIC AVENUE
STREET 2: SUITE 102
CITY: ALAMEDA
STATE: CA
ZIP: 94501
4
1
p7576208.xml
BROADWOOD/OCX
X0306
4
2017-07-21
0
0001642380
OncoCyte Corp
OCX
0001278386
BROADWOOD PARTNERS, L.P.
C/O BROADWOOD CAPITAL INC.
724 FIFTH AVENUE, 9TH FLOOR
NEW YORK
NY
10019
0
0
1
0
0001278387
BROADWOOD CAPITAL INC
724 FIFTH AVENUE, 9TH FLOOR
NEW YORK
NY
10019
0
0
1
0
0001278388
BRADSHER NEAL C
C/O BROADWOOD CAPITAL INC.
724 FIFTH AVENUE, 9TH FLOOR
NEW YORK
NY
10019
0
0
1
0
Common Stock, no par value
2017-07-21
4
X
0
540000
3.25
A
3596680
D
Common Stock, no par value
2017-07-21
4
X
0
0
3.25
A
3596680
I
Footnote
Common Stock, no par value
3145
D
Warrant to Purchase Common Stock
3.25
2017-07-21
4
X
0
540000
D
2021-10-17
Common Stock
540000
573461
D
Warrant to Purchase Common Stock
3.25
2017-07-21
4
X
0
0
D
2021-10-17
Common Stock
0
573461
I
Footnote
Warrant to Purchase Common Stock
3.25
2017-07-21
4
J
0
270000
A
2022-07-21
Common Stock
270000
270000
D
Warrant to Purchase Common Stock
3.25
2017-07-21
4
J
0
0
A
2022-07-21
Common Stock
0
270000
I
Footnote
Warrant to Purchase Common Stock
3.25
2022-02-17
Common Stock
212500
212500
D
Warrant to Purchase Common Stock
3.25
2022-02-17
Common Stock
0
212500
I
Footnote
These securities are owned by Broadwood Partners, L.P., which is a Reporting Person.
The reported securities are directly owned by Broadwood Partners, L.P. and may be deemed beneficially owned by Broadwood Capital, Inc. as General Partner of Broadwood Partners, L.P. and Neal C. Bradsher as President of Broadwood Capital, Inc. The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of his or its 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.
These warrants are currently exercisable.
These warrants were purchased as part of a unit, with each unit consisting of one share and one warrant (each warrant entitles the holder to purchase one share), at a price of $3.25 per unit.
In consideration for the early exercise by Broadwood Partners, L.P. of 540,000 warrants on July 21, 2017, Broadwood Partners, L.P. received from the Issuer one new warrant with an exercise price of $3.25 for every two warrants that it exercised.
The securities are owned by Neal C. Bradsher, who is a Reporting Person.
Broadwood Partners, L.P. By: Broadwood Capital, Inc. By: /s/ Neal C. Bradsher, President
2017-07-25
Broadwood Capital, Inc. By: /s/ Neal C. Bradsher, President
2017-07-25
/s/ Neal C. Bradsher
2017-07-25