0000899243-23-000965.txt : 20230105 0000899243-23-000965.hdr.sgml : 20230105 20230105160553 ACCESSION NUMBER: 0000899243-23-000965 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230103 FILED AS OF DATE: 20230105 DATE AS OF CHANGE: 20230105 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: NEUMANN CLARKE CENTRAL INDEX KEY: 0001321466 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39334 FILM NUMBER: 23511287 MAIL ADDRESS: STREET 1: 3595 JOHN HOPKINS CT CITY: SAN DIEGO STATE: CA ZIP: 92121 FORMER NAME: FORMER CONFORMED NAME: Neumann Clarke DATE OF NAME CHANGE: 20050323 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: BIORA THERAPEUTICS, INC. CENTRAL INDEX KEY: 0001580063 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 273950390 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 4330 LA JOLLA VILLAGE DRIVE STREET 2: SUITE 200 CITY: SAN DIEGO STATE: CA ZIP: 92122 BUSINESS PHONE: 855-293-2639 MAIL ADDRESS: STREET 1: 4330 LA JOLLA VILLAGE DRIVE STREET 2: SUITE 200 CITY: SAN DIEGO STATE: CA ZIP: 92122 FORMER COMPANY: FORMER CONFORMED NAME: PROGENITY, INC. DATE OF NAME CHANGE: 20150617 FORMER COMPANY: FORMER CONFORMED NAME: ASCENDANT MDX, INC. DATE OF NAME CHANGE: 20130625 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2023-01-03 0 0001580063 BIORA THERAPEUTICS, INC. BIOR 0001321466 NEUMANN CLARKE C/O BIORA THERAPEUTICS, INC. 4330 LA JOLLA VILLAGE DRIVE, SUITE 300 SAN DIEGO CA 92122 0 1 0 0 See Remarks Series X Preferred Stock 2023-01-03 4 D 0 44 D 0 D On November 10, 2022, the Company's board of directors (the "Board") declared a dividend of one one-thousandth of a share of Series X Preferred Stock, par value $0.001 per share (the "Preferred Stock"), for each outstanding share of common stock to common stockholders of record at 5:00 p.m. Eastern Time on November 21, 2022, in a transaction exempt from Section 16 under Rule 16a-9. The shares of Preferred Stock were distributed on November 21, 2022. As a result, the Reporting Person received the shares of Preferred Stock set forth above. The Preferred Stock was not convertible into, or exchangeable for, shares of any other class or series of stock or other securities of the Company. On January 3, 2023, in connection with the Company's reverse stock split for the common stock, the shares of Preferred Stock were redeemed automatically in accordance with the certificate of designation of the Preferred Stock. Each share of Preferred Stock was redeemed in consideration for the right to receive an amount equal to $0.001 in cash (rounded to the nearest cent) for each whole share of Preferred Stock. Senior Vice President, General Counsel and Secretary /s/ Will Pridgen, Attorney-in-Fact for Clarke Neumann 2023-01-05