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OCX OncoCyte Corporation

3.72
0.00 (0.00%)
20 Dec 2024 - Closed
Delayed by 15 minutes
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 00:00:00

Statement of Changes in Beneficial Ownership (4)

19/04/2023 12:12am

Edgar (US Regulatory)


FORM 4
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).         
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
                                                                                  
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response...
0.5
                      
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
                      

1. Name and Address of Reporting Person *

PURA VIDA INVESTMENTS, LLC
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)
(Last)          (First)          (Middle)

512 W 22ND STREET, 7TH FLOOR
3. Date of Earliest Transaction (MM/DD/YYYY)

4/14/2023
(Street)

NEW YORK, NY 10011
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
(City)        (State)        (Zip)
Rule 10b5-1(c) Transaction Indication
Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

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

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 Security3. Trans. Date3A. Deemed Execution Date, if any4. 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 Date7. 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)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Warrant to purchase common stock $1.53           4/19/2022 4/19/2027 Common Stock 517245 (1) 517245 (1)I By the Managed Accounts (2)(3)
Warrant to purchase common stock $1.53           4/19/2022 4/19/2027 Common Stock 832949 (1) 832949 (1)I By Pura Vida Master Fund, Ltd. (2)(3)
Warrant to purchase common stock $1.53           4/19/2022 4/19/2027 Common Stock 383976 (1) 383976 (1)I By Pura Vida X Fund LP (2)(3)
Warrant to purchase common stock $1.53           4/19/2022 4/19/2027 Common Stock 690719 (1) 690719 (1)I By the Retirement Trust (2)(3)

Explanation of Responses:
(1) As of the reporting date, the Warrants are subject to an ownership blocker provision that prevents the Reporting Persons from exercising the Warrants if they would have voting and dispositive power for more than 9.99% of the common stock outstanding following such exercise.
(2) Securities reported herein are owned by Pura Vida Master Fund, Ltd., Pura Vida X Fund LP, and Lockheed Martin Corporation Master Retirement Trust (the "Retirement Trust") and certain separately managed account(s) (the "Managed Accounts" and collectively, the "Client Accounts"). Pura Vida Investments, LLC ("PVI") serves as the investment manager to the Client Accounts. Efrem Kamen serves as the Managing Member of PVI.
(3) By virtue of these relationships, the Reporting Persons may be deemed to have shared voting and dispositive power with respect to the securities owned directly by the Client Accounts. This report shall not be deemed an admission that the Reporting Persons are beneficial owners of the securities for purposes of Sections 13 and 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of the Reporting Person's pecuniary interest therein, if any.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director10% OwnerOfficerOther
PURA VIDA INVESTMENTS, LLC
512 W 22ND STREET
7TH FLOOR
NEW YORK, NY 10011

X

Kamen Efrem
C/O PURA VIDA INVESTMENTS, LLC
512 W 22ND STREET, 7TH FLOOR
NEW YORK, NY 10011

X


Signatures
/s/ Efrem Kamen, Managing Member of Pura Vida Investments, LLC4/18/2023
**Signature of Reporting PersonDate

/s/ Efrem Kamen4/18/2023
**Signature of Reporting PersonDate


Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
*If the form is filed by more than one reporting person, see Instruction 4(b)(v).
**Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note:File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.

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