BIOCEPT, INC. Forms 3, 4 and 5: Warrants
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 50 rows, 50 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2018-01-30: Reporting owner Gerhardt Bruce; Form 4; Security Warrant to Purchase Common Stock; Transaction P Open market or private purchase of non-derivative or derivative security.
- 2017-08-17: Reporting owner Yu Fan | Ally Bridge LB Healthcare Master Fund Ltd | Li Bin | Ally Bridge LB Management Ltd; Form 3; Security Warrant; Transaction Holding.
- 2016-10-24: Reporting owner Ally Bridge LB Healthcare Master Fund Ltd | Yu Fan | Ally Bridge LB Management Ltd | Li Bin; Form 3; Security Warrant; Transaction Holding.
- 2016-10-19: Reporting owner Nall Michael W.; Form 4; Security Warrant to Purchase Common Stock; Transaction P Open market or private purchase of non-derivative or derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2018-01-30 | Gerhardt Bruce Director | 4 | Warrant to Purchase Common Stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +25,000 25,000 owned after | $0.50 exercise price | 2018-06-06 | |
| 2017-08-17 holding as of filing | Yu Fan | Ally Bridge LB Healthcare Master Fund Ltd | Li Bin | Ally Bridge LB Management Ltd 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Warrant Derivative · Direct | Holding | $1.50 exercise price | 2017-08-17 | ||
| 2016-10-24 holding as of filing | Ally Bridge LB Healthcare Master Fund Ltd | Yu Fan | Ally Bridge LB Management Ltd | Li Bin 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Warrant Derivative · Direct | Holding | $1.10 exercise price | 2016-10-24 | ||
| 2016-10-19 | Nall Michael W. Director, Officer (CEO & President) | 4 | Warrant to Purchase Common Stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +36,363 36,363 owned after | $1.10 exercise price | 2016-10-21 | |
| 2016-10-19 | Chandler Marsha Alpert Director | 4 | Warrant to Purchase Common Stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +4,545 4,545 owned after | $1.10 exercise price | 2016-10-21 | |
| 2016-10-19 | Kennedy Timothy Officer (CFO, Sr V.P. Operations & Sec.) | 4 | Warrant to Purchase Common Stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +36,363 36,363 owned after | $1.10 exercise price | 2016-10-21 | |
| 2016-10-19 | HUEBNER BRUCE A Director | 4 | Warrant to Purchase Common Stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +20,000 20,000 owned after | $1.10 exercise price | 2016-10-21 | |
| 2016-10-19 | Gerhardt Bruce Director | 4 | Warrant to Purchase Common Stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +50,000 50,000 owned after | $1.10 exercise price | 2016-10-21 | |
| 2016-10-19 | Singh Veena Officer (Sr VP & Sr Med Director) | 4 | Warrant to Purchase Common Stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +10,000 10,000 owned after | $1.10 exercise price | 2016-10-21 | |
| 2016-10-19 | ARNOLD LYLE J Officer (SR VP of R&D and CSO) | 4 | Warrant to Purchase Common Stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +45,000 45,000 owned after | $1.10 exercise price | 2016-10-21 | |
| 2016-10-19 | Wilson Margaret Faye Director | 4 | Warrant to Purchase Common Stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +13,636 13,636 owned after | $1.10 exercise price | 2016-10-21 | |
| 2016-10-19 | Reiss Claire 10% Owner | 4 | Warrant to Purchase Common Stock Derivative · Indirect · By trusts | P Open market or private purchase of non-derivative or derivative security | +227,272 227,272 owned after | $1.10 exercise price | 2016-10-21 | |
| 2016-10-19 | Neff Edward A. Director | 4 | Warrant to Purchase Common Stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +227,272 227,272 owned after | $1.10 exercise price | 2016-10-21 | |
| 2016-10-19 | HALE DAVID F Director | 4 | Warrant to Purchase Common Stock Derivative · Indirect · By LLC | P Open market or private purchase of non-derivative or derivative security | +90,909 90,909 owned after | $1.10 exercise price | 2016-10-21 | |
| 2016-05-04 | HALE DAVID F Director | 4 | Warrant to Purchase Common Stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +35,000 35,000 owned after | $1.30 exercise price | 2016-05-05 | |
| 2016-05-04 | Neff Edward A. Director | 4 | Warrant to Purchase Common Stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +70,000 70,000 owned after | $1.30 exercise price | 2016-05-05 | |
| 2016-05-04 | Gerhardt Bruce Director | 4 | Warrant to Purchase Common Stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +17,500 17,500 owned after | $1.30 exercise price | 2016-05-05 | |
| 2016-05-04 | Reiss Claire 10% Owner | 4 | Warrant to Purchase Common Stock Derivative · Indirect · By trusts | P Open market or private purchase of non-derivative or derivative security | +429,991 429,991 owned after | $1.30 exercise price | 2016-05-05 | |
| 2015-02-13 | Wilson Margaret Faye Director | 4 | Warrant to Purchase Common Stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +4,000 4,000 owned after | $1.56 exercise price | 2015-02-18 | |
| 2015-02-13 | ROYSTON IVOR Director | 4 | Warrant to Purchase Common Stock Derivative · Indirect · By Reporting Person's retirement account | P Open market or private purchase of non-derivative or derivative security | +12,000 12,000 owned after | $1.56 exercise price | 2015-02-18 | |
| 2015-02-13 | Neff Edward A. Director | 4 | Warrant to Purchase Common Stock Derivative · Indirect · By corporation | P Open market or private purchase of non-derivative or derivative security | +40,000 40,000 owned after | $1.56 exercise price | 2015-02-18 | |
| 2015-02-13 | Nall Michael W. Director, Officer (CEO & President) | 4 | Warrant to Purchase Common Stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +12,000 12,000 owned after | $1.56 exercise price | 2015-02-18 | |
| 2015-02-13 | HUEBNER BRUCE A Director | 4 | Warrant to Purchase Common Stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +12,000 12,000 owned after | $1.56 exercise price | 2015-02-18 | |
| 2015-02-13 | HALE DAVID F Director, Officer (Chairman) | 4 | Warrant to Purchase Common Stock Derivative · Indirect · By LLC | P Open market or private purchase of non-derivative or derivative security | +40,000 40,000 owned after | $1.56 exercise price | 2015-02-18 | |
| 2015-02-13 | Gerhardt Bruce Director | 4 | Warrant to Purchase Common Stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +20,000 20,000 owned after | $1.56 exercise price | 2015-02-18 | |
| 2015-02-13 | Chandler Marsha Alpert Director | 4 | Warrant to Purchase Common Stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +2,000 2,000 owned after | $1.56 exercise price | 2015-02-18 | |
| 2014-02-10 | HALE DAVID F Director, Officer (CHAIRMAN) | 4 | Warrants (right to buy) Derivative · Indirect · (m) | J Other acquisition or disposition (describe transaction) | +22,175 22,175 owned after | $10.00 exercise price | 2014-02-12 | |
| 2014-02-10 | HALE DAVID F Director, Officer (CHAIRMAN) | 4 | Warrants (right to buy) Derivative · Indirect · (m) | J Other acquisition or disposition (describe transaction) | +36,302 36,302 owned after | $10.00 exercise price | 2014-02-12 | |
| 2014-02-10 | ROYSTON IVOR Director | 4 | Warrants (right to buy) Derivative · Direct | J Other acquisition or disposition (describe transaction) | +2,500 2,500 owned after | $10.00 exercise price | 2014-02-12 | |
| 2014-02-10 | Wilson Margaret Faye Director | 4 | Warrants (right to buy) Derivative · Direct | J Other acquisition or disposition (describe transaction) | +1,250 1,250 owned after | $10.00 exercise price | 2014-02-12 | |
| 2014-02-10 | Reiss Claire 10% Owner | 4 | Warrants (right to buy) Derivative · Indirect · By trusts | J Other acquisition or disposition (describe transaction) | +119,000 119,000 owned after | $10.00 exercise price | 2014-02-12 | |
| 2014-02-10 | Reiss Claire 10% Owner | 4 | Warrants (right to buy) Derivative · Indirect · By corporation | J Other acquisition or disposition (describe transaction) | +6,250 6,250 owned after | $10.00 exercise price | 2014-02-12 | |
| 2014-02-10 | Reiss Claire 10% Owner | 4 | Warrants (right to buy) Derivative · Indirect · By trust | J Other acquisition or disposition (describe transaction) | +58,802 58,802 owned after | $10.00 exercise price | 2014-02-12 | |
| 2014-02-10 | Neff Edward A. Director | 4 | Warrants (right to buy) Derivative · Indirect · (m) | J Other acquisition or disposition (describe transaction) | +51,250 51,250 owned after | $10.00 exercise price | 2014-02-12 | |
| 2014-02-10 | Neff Edward A. Director | 4 | Warrants (right to buy) Derivative · Direct · (m) | J Other acquisition or disposition (describe transaction) | +28,801 28,801 owned after | $10.00 exercise price | 2014-02-12 | |
| 2014-02-10 | Gerhardt Bruce Director | 4 | Warrants (right to buy) Derivative · Direct | J Other acquisition or disposition (describe transaction) | +500 500 owned after | $10.00 exercise price | 2014-02-12 | |
| 2014-02-10 | Gerhardt Bruce Director | 4 | Warrants (right to buy) Derivative · Direct | J Other acquisition or disposition (describe transaction) | +2,500 2,500 owned after | $10.00 exercise price | 2014-02-12 | |
| 2014-02-10 | Chandler Marsha Alpert Director | 4 | Warrants (right to buy) Derivative · Direct | J Other acquisition or disposition (describe transaction) | +2,500 2,500 owned after | $10.00 exercise price | 2014-02-12 | |
| 2014-02-04 holding as of filing | Reiss Claire 10% Owner | 3 | Warrants (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 | Warrants (right to buy) Derivative · Indirect · By corporation | Holding | $10.00 exercise price | 2014-02-04 | ||
| 2014-02-04 holding as of filing | Reiss Claire 10% Owner | 3 | Warrants (right to buy) Derivative · Indirect · By trust | Holding | $10.00 exercise price | 2014-02-04 | ||
| 2014-02-04 holding as of filing | Wilson Margaret Faye Director | 3 | Warrants (right to buy) Derivative · Direct | Holding | $10.00 exercise price | 2014-02-04 | ||
| 2014-02-04 holding as of filing | ROYSTON IVOR Director | 3 | Warrants (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 | Warrants (right to buy) Derivative · Indirect · (m) | Holding | $10.00 exercise price | 2014-02-04 | ||
| 2014-02-04 holding as of filing | Neff Edward A. Director | 3 | Warrants (right to buy) Derivative · Direct · (m) | Holding | $10.00 exercise price | 2014-02-04 | ||
| 2014-02-04 holding as of filing | Gerhardt Bruce Director | 3 | Warrants (right to buy) Derivative · Direct | Holding | $10.00 exercise price | 2014-02-04 | ||
| 2014-02-04 holding as of filing | Gerhardt Bruce Director | 3 | Warrants (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 | Warrants (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 | Warrants (right to buy) Derivative · Indirect · (m) | Holding | $10.00 exercise price | 2014-02-04 | ||
| 2014-02-04 holding as of filing | HALE DAVID F Director, Officer (EXECUTIVE CHAIRMAN) | 3 | Warrants (right to buy) Derivative · Indirect · (m) | Holding | $10.00 exercise price | 2014-02-04 |