Statement of Changes in Beneficial Ownership (4)

Date : 06/19/2019 @ 8:24PM
Source : Edgar (US Regulatory)
Stock : Biocept Inc (BIOC)
Quote : 0.2646  -0.0129 (-4.65%) @ 12:51AM
After Hours
Last Trade
Last $ 0.27 ▲ 0.01 (2.04%)

Statement of Changes in Beneficial Ownership (4)

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
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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 *

HALE DAVID F
2. Issuer Name and Ticker or Trading Symbol

BIOCEPT INC [ BIOC ]
5. Relationship of Reporting Person(s) to Issuer (Check all applicable)

__ X __ Director                      _____ 10% Owner
_____ Officer (give title below)      _____ Other (specify below)
(Last)          (First)          (Middle)

C/O BIOCEPT, INC., 5810 NANCY RIDGE DRIVE #150
3. Date of Earliest Transaction (MM/DD/YYYY)

4/30/2019
(Street)

SAN DIEGO, CA 92121
(City)        (State)        (Zip)
4. If Amendment, Date Original Filed (MM/DD/YYYY)

 
6. Individual or Joint/Group Filing (Check Applicable Line)

_ X _ Form filed by One Reporting Person
___ 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

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
Employee Stock Option (right to buy)   $0.91   4/30/2019     A      30000         (1) 4/29/2029   Common Stock   30000   $0.00   30000   D    
Employee Stock Option (right to buy)   $1.02   6/17/2019     A      500         (2) 6/16/2029   Common Stock   500   $0.00   500   D    

Explanation of Responses:
(1)  The option was granted on 4/30/19, but was contingent on shareholder approval of an increase in the shares issuable under the Issuer's 2013 Amended and Restated Equity Incentive Plan at the Issuer's annual meeting of stockholders held on 6/17/19, and therefore for purposes of Section 16 the option was not "acquired" until such stockholder approval was obtained. 25% of the shares subject to the option shall vest on the first annual anniversary of the Vesting Commencement Date (4/30/19) with the balance vesting in equal monthly installments thereafter until fully vested on 4/30/23
(2)  The shares subject to the option shall be 100% vested and exercisable on June 17, 2020.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director 10% Owner Officer Other
HALE DAVID F
C/O BIOCEPT, INC.
5810 NANCY RIDGE DRIVE #150
SAN DIEGO, CA 92121
X



Signatures
/s/ Michael W. Nall, Attorney-in-fact 6/18/2019
** Signature of Reporting Person Date


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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