BIOCEPT, INC. Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 5 rows in 2016. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2016-07-29: Reporting owner Kennedy Timothy; Form 4; Security Employee Stock Option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2016-02-29: Reporting owner Trivedi Raaj; Form 4; Security Employee Stock Option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2016-02-29: Reporting owner Singh Veena; Form 4; Security Employee Stock Option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2016-02-29: Reporting owner Nall Michael W.; Form 4; Security Employee stock option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2016-07-29 | Kennedy Timothy Officer (CFO, Sr V.P. Operations & Sec.) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +200,000 200,000 owned after | $0.65 exercise price | 2016-08-01 | |
| 2016-02-29 | Trivedi Raaj Officer (VP Commercial Operations) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +17,500 17,500 owned after | $1.34 exercise price | 2016-03-01 | |
| 2016-02-29 | Singh Veena Officer (Sr VP & Sr Med Director) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 50,000 owned after | $1.34 exercise price | 2016-03-01 | |
| 2016-02-29 | Nall Michael W. Director, Officer (CEO & President) | 4 | Employee stock option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 50,000 owned after | $1.34 exercise price | 2016-03-01 | |
| 2016-02-29 | ARNOLD LYLE J Officer (SR VP of R&D and CSO) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 25,000 owned after | $1.34 exercise price | 2016-03-01 |