Initial Statement of Beneficial Ownership (3)
April 22 2020 - 12:28PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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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
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1. Name and Address of Reporting Person
*
Dunn Cory |
2. Date of Event Requiring Statement (MM/DD/YYYY)
3/30/2020
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3. Issuer Name and Ticker or Trading Symbol
BIOCEPT INC [BIOC]
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(Last)
(First)
(Middle)
C/O BIOCEPT, INC., 5810 NANCY RIDGE DR # 150 |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner ___X___ Officer (give title below) _____ Other (specify below) Sr. VP Corp. Development / |
(Street)
SAN DIEGO, CA 92121
(City)
(State)
(Zip)
| 5. 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
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 4) | 2. Date Exercisable and Expiration Date (MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Stock Option (right to buy) | (1) | 1/26/2030 | Common Stock | 30000 | $0.31 | D | |
Stock Option (right to buy) | (2) | 4/29/2029 | Common Stock | 45007 | $0.91 | D | |
Stock Option (right to buy) | (3) | 10/30/2028 | Common Stock | 24200 | $1.90 | D | |
Explanation of Responses: |
(1) | 25% of the shares subject to the option shall vest on the first annual anniversary of January 27, 2020 with the balance vesting in equal monthly installments until fully vested on January 27, 2024. |
(2) | 25% of the shares subject to the option shall vest on the first annual anniversary of April 30, 2019 with the balance vesting in equal monthly installments until fully vested on April 30, 2023. |
(3) | 25% of the shares subject to the option vested on the first annual anniversary of October 31, 2018 with the balance vesting in equal monthly installments until fully vested on October 31, 2022. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Dunn Cory C/O BIOCEPT, INC. 5810 NANCY RIDGE DR # 150 SAN DIEGO, CA 92121 |
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| Sr. VP Corp. Development |
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Signatures
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/s/ Cory Dunn | | 4/21/2020 |
**Signature of Reporting Person | Date |
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