BIOCEPT, INC. Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 15 rows in 2020. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2020-10-20: Reporting owner Riccitelli Samuel D; Form 4; Security Employee Stock Option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2020-10-01: Reporting owner TERRY MICHAEL J; Form 4; Security Employee Stock Option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2020-10-01: 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).
- 2020-10-01: Reporting owner DUGAN MICHAEL C; 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 |
|---|---|---|---|---|---|---|---|---|
| 2020-10-20 | Riccitelli Samuel D Director | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,000 10,000 owned after | $4.63 exercise price | 2020-10-22 | |
| 2020-10-01 | TERRY MICHAEL J Officer (Sr VP Comm. Operations) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +48,300 48,300 owned after | $4.50 exercise price | 2020-10-05 | |
| 2020-10-01 | 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) | +138,000 138,000 owned after | $4.50 exercise price | 2020-10-05 | |
| 2020-10-01 | DUGAN MICHAEL C Officer (Chief Med Off & Med. Director) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +69,000 69,000 owned after | $4.50 exercise price | 2020-10-05 | |
| 2020-10-01 | 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) | +241,500 241,500 owned after | $4.50 exercise price | 2020-10-05 | |
| 2020-08-31 | DUGAN MICHAEL C Officer (Chief Med Off & Med. Director) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +54,900 54,900 owned after | $0.67 exercise price | 2020-09-01 | |
| 2020-06-05 | Wilson Margaret Faye Director | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +500 500 owned after | $0.48 exercise price | 2020-06-09 | |
| 2020-06-05 | Chandler Marsha Alpert Director | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +500 500 owned after | $0.48 exercise price | 2020-06-09 | |
| 2020-06-05 | Gerhardt Bruce Director | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +500 500 owned after | $0.48 exercise price | 2020-06-09 | |
| 2020-06-05 | HALE DAVID F Director | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +500 500 owned after | $0.48 exercise price | 2020-06-09 | |
| 2020-06-05 | ROYSTON IVOR Director | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +500 500 owned after | $0.48 exercise price | 2020-06-09 | |
| 2020-06-05 | HUEBNER BRUCE A Director | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +500 500 owned after | $0.48 exercise price | 2020-06-09 | |
| 2020-04-22 holding as of filing | Dunn Cory Officer (Sr. VP Corp. Development) | 3 | Stock Option (right to buy) Derivative · Direct | Holding | $0.31 exercise price | 2020-04-22 | ||
| 2020-04-22 holding as of filing | Dunn Cory Officer (Sr. VP Corp. Development) | 3 | Stock Option (right to buy) Derivative · Direct | Holding | $0.91 exercise price | 2020-04-22 | ||
| 2020-04-22 holding as of filing | Dunn Cory Officer (Sr. VP Corp. Development) | 3 | Stock Option (right to buy) Derivative · Direct | Holding | $1.90 exercise price | 2020-04-22 |