0001493152-22-035089.txt : 20221209 0001493152-22-035089.hdr.sgml : 20221209 20221209202324 ACCESSION NUMBER: 0001493152-22-035089 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20221201 FILED AS OF DATE: 20221209 DATE AS OF CHANGE: 20221209 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ANDREWS RONALD ASBURY CENTRAL INDEX KEY: 0001299153 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37648 FILM NUMBER: 221455987 MAIL ADDRESS: STREET 1: 5791 VAN ALLEN WAY CITY: CARLSBAD STATE: CA ZIP: 92008 FORMER NAME: FORMER CONFORMED NAME: Andrews Ronald Asbury DATE OF NAME CHANGE: 20040730 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: 15 CUSHING CITY: IRVINE STATE: CA ZIP: 92618 BUSINESS PHONE: 949-409-7600 MAIL ADDRESS: STREET 1: 15 CUSHING CITY: IRVINE STATE: CA ZIP: 92618 FORMER COMPANY: FORMER CONFORMED NAME: OncoCyte Corp DATE OF NAME CHANGE: 20200213 FORMER COMPANY: FORMER CONFORMED NAME: Oncocyte Corp DATE OF NAME CHANGE: 20200205 FORMER COMPANY: FORMER CONFORMED NAME: OncoCyte Corp DATE OF NAME CHANGE: 20150513 4 1 ownership.xml X0306 4 2022-12-01 0 0001642380 Oncocyte Corp OCX 0001299153 ANDREWS RONALD ASBURY 15 CUSHING IRVINE CA 92618 1 1 0 0 Former CEO Common Stock, no par value 2022-12-01 4 M 0 250000 0 A 583212 D Option to Purchase Common Stock 2.10 2022-12-01 4 D 0 20000 0 D Common Stock 20000 0 D Option to Purchase Common Stock 2.40 2022-12-01 4 D 0 45000 0 D Common Stock 45000 0 D Option to Purchase Common Stock 2.51 2022-12-01 4 D 0 950000 0 D Common Stock 950000 0 D Option to Purchase Common Stock 1.68 2022-12-01 4 D 0 50000 0 D Common Stock 50000 0 D Option to Purchase Common Stock 5.34 2022-12-01 4 D 0 500000 0 D Common Stock 500000 0 D Option to Purchase Common Stock 1.15 2022-12-01 4 D 0 300000 0 D Common Stock 300000 0 D Option to Purchase Common Stock 1.15 2022-12-01 4 D 0 93750 0 D Common Stock 93750 281250 D Restricted Stock Units 0 2022-12-01 4 D 0 35000 0 D Common Stock 35000 0 D Restricted Stock Units 0 2022-12-01 4 D 0 250000 0 D Common Stock 250000 250000 D Restricted Stock Units 0 2022-12-01 4 M 0 250000 0 D Common Stock 250000 0 D Option to Purchase Common Stock 0.4644 2022-12-07 4 A 0 50000 0 A 2032-12-07 Common Stock 50000 50000 D 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. 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. 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. /s/ Ronald Andrews 2022-12-09