Initial Statement of Beneficial Ownership (3)
September 22 2022 - 05:39PM
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
Estimated average burden
hours per response... 0.5 |
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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 * Liu James
Yang |
2. Date of Event Requiring Statement
(MM/DD/YYYY)
9/20/2022
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3. Issuer Name and Ticker or Trading
Symbol Oncocyte Corp [OCX] |
(Last)
(First)
(Middle)
15 CUSHING |
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)_____
Director _____
10% Owner
___X___ Officer (give title
below) _____
Other (specify below)
Controller, PAO / |
(Street)
IRVINE, CA 92618
(City)
(State)
(Zip)
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5. If Amendment, Date Original
Filed(MM/DD/YYYY)
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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 Beneficially
Owned
|
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)
|
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 |
Option to Purchase Common Stock |
(1) |
3/15/2032 |
Common Stock |
10000 |
$1.15 |
D |
|
Option to Purchase Common Stock |
(1) |
3/24/2032 |
Common Stock |
2260 |
$1.39 |
D |
|
Option to Purchase Common Stock |
(1) |
9/20/2032 |
Common Stock |
75000 |
$0.887 |
D |
|
Explanation of
Responses: |
(1) |
25% of the options will
become exercisable after one year of Reporting Person's continuous
employment with Issuer from the effective date of grant, and the
balance will become exercisable in 36 equal monthly installments
commencing one year after the date of grant subject to Reporting
Person's continued employment with Issuer on the applicable vesting
dated. |
Reporting
Owners
|
Reporting Owner Name / Address |
Relationships
|
Director |
10% Owner |
Officer |
Other |
Liu James Yang
15 CUSHING
IRVINE, CA 92618 |
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|
Controller, PAO |
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Signatures
|
/s/ James Liu |
|
9/22/2022 |
**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 5(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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