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Filing Details

Accession Number:: 0001209191-16-144551
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2016-10-04 17:47:36
Reporting Period:: 2016-05-13

Filing Date:: 2016-10-04
Accepted Time:: 2016-10-04 17:47:36
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1674930	Fulgent Genetics Inc.	FLGT	()	4

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1302110	Ming Hsieh	C/O Fulgent Genetics, Inc. 4978 Santa Anita Avenue Temple City CA 91780	President And Ceo	Yes	Yes	Yes	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Issuer Common Stock	Acquisiton	2016-05-13	1	$0.00	1	No	4	A	Direct
Issuer Common Stock	Acquisiton	2016-09-30	5,444,944	$0.00	5,444,944	No	4	A	Direct
Issuer Common Stock	Acquisiton	2016-09-30	1,315,789	$0.00	1,315,789	No	4	A	Indirect	By Annuity Trust
Issuer Common Stock	Acquisiton	2016-09-30	1,000,000	$9.00	6,444,944	No	4	P	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	A	Direct
No	4	A	Direct
No	4	A	Indirect	By Annuity Trust
No	4	P	Direct

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Predecessor Class D Voting Common Units	Predecessor Class D-1 Preferred Units	Disposition	2016-05-13	4,618,421	$1.17	4,618,421	$0.00
Predecessor Class D Voting Common Units	Predecessor Class D-1 Preferred Units	Disposition	2016-09-30	41,381,579	$0.00	41,381,579	$0.00
Predecessor Class D Voting Common Units	Predecessor Class D-1 Preferred Units	Disposition	2016-09-30	10,000,000	$0.00	10,000,000	$0.00

Remaning Holdings	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
41,381,579	No	4	S	Direct
0	No	4	D	Direct
0	No	4	D	Indirect

Reported Derivative Holdings

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Sec. Name	Sec. Type	Price	Date	Expiration Date	Amount	Remaning Holdings	Nature of Ownership
Predecessor Class D Voting Common Units	Predecessor Class D-1 Preferred Units	$0.00			0	10,000,000	Indirect

Expiration Date	Amount	Remaning Holdings	Nature of Ownership
	0	10,000,000	Indirect

Footnotes

Prior to the Reorganization (as defined below), Mr. Hsieh was issued one share of the common stock of Fulgent Genetics, Inc. (the "Issuer") upon the Issuer's formation. In the Reorganization, such share was cancelled and extinguished without any conversion thereof and no payment was made with respect thereto. As a result, such share is not reflected as held or beneficially owned by Mr. Hsieh following the Reorganization.
The securities were received in the Reorganization (as defined below) in exchange for the cancellation of 41,381,579 Class D-1 preferred units of Fulgent Therapeutics LLC (the "Predecessor" or "Fulgent LLC").
The securities were received in the Reorganization (as defined below) in exchange for the cancellation of 10,000,000 of the Predecessor's Class D-1 preferred units.
The securities are held of record by the Ming Hsieh Annuity Trust established May 4, 2016 (the "Annuity Trust"), over which Mr. Hsieh possesses sole voting and dispositive power as the sole trustee.
Reflects securities of the Predecessor. Fulgent LLC is considered the predecessor of the Issuer following completion of a reorganization transaction pursuant to which the Predecessor became a wholly owned subsidiary of the Issuer (the "Reorganization"), which was completed on September 30, 2016 in connection with the Issuer's initial public offering and which is described in the Issuer's Registration Statement on Form S-1, as amended (File No. 333-213469). In the Reorganization, all of the Predecessor's Class D-1 preferred units were cancelled in exchange for shares of the Issuer's common stock at a ratio of 7.6-for-1.
Reflects securities of the Predecessor sold or beneficially owned by Mr. Hsieh as of May 13, 2016.
Prior to the Reorganization, the Predecessor's Class D-1 preferred units had no expiration date and were convertible into the Predecessor's Class D voting common units, on a one-for-one basis and for no additional consideration, at any time at the option of the holder and in connection with an initial public offering of the Predecessor or a successor thereof.
The securities were disposed of and cancelled in the Reorganization in exchange for 5,444,944 shares of the Issuer's common stock.
The securities were disposed of and cancelled in the Reorganization in exchange for 1,315,789 shares of the Issuer's common stock.