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Share Name | Share Symbol | Market | Type |
---|---|---|---|
OncoCyte Corporation | AMEX:OCX | AMEX | Common Stock |
Price Change | % Change | Share Price | High Price | Low Price | Open Price | Shares Traded | Last Trade | |
---|---|---|---|---|---|---|---|---|
0.00 | 0.00% | 3.72 | 0 | 01:00:00 |
1. Name and Address of Reporting Person * BROADWOOD PARTNERS, L.P. | 2. Issuer Name and Ticker or Trading Symbol Oncocyte Corp [ OCX ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director __X__ 10% Owner _____ Officer (give title below) _____ Other (specify below) |
3. Date of Earliest Transaction
(MM/DD/YYYY)
| ||
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
___ Form filed by One Reporting Person
_ X _ Form filed by More than One Reporting Person |
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
1.Title of Security (Instr. 3) | 2. Trans. Date | 2A. Deemed Execution Date, if any |
3. Trans. Code (Instr. 8) |
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock, no par value | 9/23/2021 | X | 573461 | A | $3.1525 (2)(3) | 17349945 | D (1) | |||
Common Stock, no par value | 9/23/2021 | X | 0 | A | $0 | 17349945 | I | Footnote (1) | ||
Common Stock, no par value | 3145 | D (4) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Warrant to Purchase Common Stock | $3.25 | 9/23/2021 | D (2)(3) | 573461 | (5) | 10/17/2021 | Common Stock | 573461 | (2)(3) | 0 | D (1) | ||||
Warrant to Purchase Common Stock | $3.25 | 9/23/2021 | D (2)(3) | 0 | (5) | 10/17/2021 | Common Stock | 573461 | (2)(3) | 0 | I | Footnote (1) | |||
Warrant to Purchase Common Stock | $3.1525 | 9/23/2021 | A (2)(3) | 573461 | (5) | 9/30/2021 | Common Stock | 573461 | (2)(3) | 573461 | D (1) | ||||
Warrant to Purchase Common Stock | $3.1525 | 9/23/2021 | A (2)(3) | 0 | (5) | 9/30/2021 | Common Stock | 573461 | (2)(3) | 573461 | I | Footnote (1) | |||
Warrant to Purchase Common Stock | $3.1525 | 9/23/2021 | X (2)(3) | 573461 | (5) | 9/30/2021 | Common Stock | 573461 | (2)(3) | 0 | D (1) | ||||
Warrant to Purchase Common Stock | $3.1525 | 9/23/2021 | X (2)(3) | 0 | (5) | 9/30/2021 | Common Stock | 573461 | (2)(3) | 0 | I | Footnote (1) | |||
Warrant to Purchase Common Stock | $3.25 | (5) | 7/21/2022 | Common Stock | 270000 | 270000 | D (1) | ||||||||
Warrant to Purchase Common Stock | $3.25 | (5) | 7/21/2022 | Common Stock | 0 | 270000 | I | Footnote (1) | |||||||
Warrant to Purchase Common Stock | $3.25 | (5) | 2/17/2022 | Common Stock | 212500 | 212500 | D (1) | ||||||||
Warrant to Purchase Common Stock | $3.25 | (5) | 2/17/2022 | Common Stock | 0 | 212500 | I | Footnote (1) |
Reporting Owners | |||||
Reporting Owner Name / Address | |||||
Director | 10% Owner | Officer | Other | ||
BROADWOOD PARTNERS, L.P. C/O BROADWOOD CAPITAL INC. 142 WEST 57TH STREET, 11TH FLOOR NEW YORK, NY 10019 | X | ||||
BROADWOOD CAPITAL INC 142 WEST 57TH STREET, 11TH FLOOR NEW YORK, NY 10019 | X | ||||
BRADSHER NEAL C C/O BROADWOOD CAPITAL INC. 142 WEST 57TH STREET, 11TH FLOOR NEW YORK, NY 10019 | X |
Signatures | ||
Broadwood Partners, L.P., By Broadwood Capital, Inc., By: /s/ Neal C. Bradsher, President | 9/24/2021 | |
**Signature of Reporting Person | Date | |
Broadwood Capital, Inc., By: /s/ Neal C. Bradsher, President | 9/24/2021 | |
**Signature of Reporting Person | Date | |
/s/ Neal C. Bradsher | 9/24/2021 | |
**Signature of Reporting Person | Date |
1 Year OncoCyte Chart |
1 Month OncoCyte Chart |
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