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Filing Details

Accession Number:
0001209191-16-146646
Form Type:
4
Zero Holdings:
No
Publication Time:
2016-10-21 18:43:47
Reporting Period:
2016-10-19
Filing Date:
2016-10-21
Accepted Time:
2016-10-21 18:43:47
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1044378 Biocept Inc BIOC Services-Medical Laboratories (8071) 330757995
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1591849 W. Michael Nall C/o Biocept, Inc.
5810 Nancy Ridge Drive # 150
San Diego CA 92121
Ceo & President Yes Yes No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Disposition 2015-04-30 4,000 $0.00 34,212 No 4 G Direct
Common Stock Acquisiton 2015-04-30 4,000 $0.00 4,000 No 4 G Indirect By trust
Common Stock Disposition 2015-09-01 4,762 $0.00 29,450 No 4 G Direct
Common Stock Acquisiton 2015-09-01 4,762 $0.00 8,762 No 4 G Indirect By trust
Common Stock Disposition 2016-03-09 4,450 $0.00 25,000 No 4 G Direct
Common Stock Acquisiton 2016-03-09 4,450 $0.00 13,212 No 4 G Indirect By trust
Common Stock Acquisiton 2016-10-19 36,363 $1.10 49,575 No 4 P Indirect By trust
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 G Direct
No 4 G Indirect By trust
No 4 G Direct
No 4 G Indirect By trust
No 4 G Direct
No 4 G Indirect By trust
No 4 P Indirect By trust
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Warrant to Purchase Common Stock Acquisiton 2016-10-19 36,363 $0.00 36,363 $1.10
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
36,363 2016-10-19 2021-10-19 No 4 P Direct
Footnotes
  1. As adjusted for the 1-for-3 reverse stock split effected September 27, 2016.
  2. On September 27, 2016, the Issuer effected a 1-for-3 reverse stock split resulting in the reporting person's ownership of 68,422 fewer shares.
  3. On September 27, 2016, the Issuer effected a 1-for-3 reverse stock split resulting in the reporting person's ownership of 8,000 fewer shares.
  4. On September 27, 2016, the Issuer effected a 1-for-3 reverse stock split resulting in the reporting person's ownership of 9,524 fewer shares.
  5. On September 27, 2016, the Issuer effected a 1-for-3 reverse stock split resulting in the reporting person's ownership of 8,898 fewer shares.
  6. Shares were purchased from the issuer in a unit offering, with each unit consisting of one share of Common Stock and one warrant to purchase one share of Common Stock for $1.10 per unit.