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