BIOCEPT, INC. Forms 3, 4 and 5: Corporate Securities (Bonds and Notes)
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 16 rows, 16 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2014-03-05: Reporting owner Reiss Claire; Form 3/A; Security Convertible Note (right to buy); Transaction Holding.
- 2014-02-10: Reporting owner Reiss Claire; Form 4/A; Security Convertible Note (right to buy); Transaction C Conversion of derivative security.
- 2014-02-10: Reporting owner HALE DAVID F; Form 4; Security Convertible Notes (right to buy); Transaction C Conversion of derivative security.
- 2014-02-10: Reporting owner Wilson Margaret Faye; Form 4; Security Convertible Note (right to buy); Transaction C Conversion of derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2014-03-05 holding as of filing | Reiss Claire 10% Owner | 3/A | Convertible Note (right to buy) Derivative · Indirect · By trust | Holding | $10.00 exercise price | 2014-03-05 | ||
| 2014-02-10 | Reiss Claire 10% Owner | 4/A | Convertible Note (right to buy) Derivative · Indirect · By trust | C Conversion of derivative security | −163,399 0 owned after | $10.00 exercise price | 2014-03-05 | |
| 2014-02-10 | HALE DAVID F Director, Officer (CHAIRMAN) | 4 | Convertible Notes (right to buy) Derivative · Indirect · (m) | C Conversion of derivative security | −47,181 0 owned after | $10.00 exercise price | 2014-02-12 | |
| 2014-02-10 | Wilson Margaret Faye Director | 4 | Convertible Note (right to buy) Derivative · Direct | C Conversion of derivative security | −2,650 0 owned after | $10.00 exercise price | 2014-02-12 | |
| 2014-02-10 | Reiss Claire 10% Owner | 4 | Convertible Notes (right to buy) Derivative · Indirect · By trust | C Conversion of derivative security | −257,031 0 owned after | $10.00 exercise price | 2014-02-12 | |
| 2014-02-10 | Reiss Claire 10% Owner | 4 | Convertible Notes (right to buy) Derivative · Indirect · By corporation | C Conversion of derivative security | −13,453 0 owned after | $10.00 exercise price | 2014-02-12 | |
| 2014-02-10 | Neff Edward A. Director | 4 | Convertible Notes (right to buy) Derivative · Indirect · (m) | C Conversion of derivative security | −108,140 0 owned after | $10.00 exercise price | 2014-02-12 | |
| 2014-02-10 | Gerhardt Bruce Director | 4 | Convertible Note (right to buy) Derivative · Direct | C Conversion of derivative security | −1,055 0 owned after | $10.00 exercise price | 2014-02-12 | |
| 2014-02-10 | Chandler Marsha Alpert Director | 4 | Convertible Note (right to buy) Derivative · Direct | C Conversion of derivative security | −5,078 0 owned after | $10.00 exercise price | 2014-02-12 | |
| 2014-02-04 holding as of filing | Reiss Claire 10% Owner | 3 | Convertible Notes (right to buy) Derivative · Indirect · By trusts | Holding | $10.00 exercise price | 2014-02-04 | ||
| 2014-02-04 holding as of filing | Reiss Claire 10% Owner | 3 | Convertible Notes (right to buy) Derivative · Indirect · By corporation | Holding | $10.00 exercise price | 2014-02-04 | ||
| 2014-02-04 holding as of filing | Wilson Margaret Faye Director | 3 | Convertible Notes (right to buy) Derivative · Direct | Holding | $10.00 exercise price | 2014-02-04 | ||
| 2014-02-04 holding as of filing | Neff Edward A. Director | 3 | Convertible Notes (right to buy) Derivative · Indirect · (m) | Holding | $10.00 exercise price | 2014-02-04 | ||
| 2014-02-04 holding as of filing | Gerhardt Bruce Director | 3 | Convertible Notes (right to buy) Derivative · Direct | Holding | $10.00 exercise price | 2014-02-04 | ||
| 2014-02-04 holding as of filing | Chandler Marsha Alpert Director | 3 | Convertible Notes (right to buy) Derivative · Direct | Holding | $10.00 exercise price | 2014-02-04 | ||
| 2014-02-04 holding as of filing | HALE DAVID F Director, Officer (EXECUTIVE CHAIRMAN) | 3 | Convertible Notes (right to buy) Derivative · Indirect · (m) | Holding | $10.00 exercise price | 2014-02-04 |