Ownership Submission
FORM 4
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Check this box if no longer subject to Section 16, Form 4 or Form 5 obligations may continue. See Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person *
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James Andrea S.
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2. Issuer Name and Ticker or Trading Symbol
Oncocyte Corp [OCX]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director
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_____ 10% Owner
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_____ Officer (give title below)
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_____ Other (specify below)
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Chief Financial Officer /
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(Last)
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(First)
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(Middle)
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C/O ONCOCYTE CORPORATION , 15 CUSHING
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3. Date of Earliest Transaction (Month/Day/Year)
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4. If Amendment, Date Original Filed(Month/Day/Year)
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6. Individual or Join/Group Filing(Check Applicable Line)
_X_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
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2. Transaction Date (Month/Day/Year)
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2A. Deemed Execution Date, if any (Month/Day/Year)
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3. Transaction Code
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4. Securities Acquired (A) or Disposed of (D)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
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6. Ownership Form: Direct (D) or Indirect (I)
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7. Nature of Indirect Beneficial Ownership
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Code
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V
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Amount
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(A) or (D)
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Price
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Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
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2. Conversion or Exercise Price of Derivative Security
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3. Transaction Date (Month/Day/Year)
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3A. Deemed Execution Date, if any (Month/Day/Year)
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4. Transaction Code
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
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8. Price of Derivative Security
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
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11. Nature of Indirect Beneficial Ownership
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expriation Date
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Title
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Amount or Number of Shares
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Reporting Owners
Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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James Andrea S.
C/O ONCOCYTE CORPORATION
15 CUSHING
IRVINE, CA92618
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Chief Financial Officer
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Signatures
/s/ Andrea James
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2024-10-15
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**Signature of Reporting Person
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Date
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Explanation of Responses:
(*)
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If the form is filed by more than one reporting person, see Instruction 5(b)(v).
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(**)
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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(1)
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As previously disclosed in the Form 4 filed by the Reporting Person on June 24, 2024 (the "Prior Form 4"), the derivative securities were granted on June 20, 2024 (the "Grant Date"), but such award was subject to stockholder approval of an increase in the number of shares available for issuance under the Oncocyte Corporation Amended and Restated 2018 Equity Incentive Plan. Such stockholder approval was obtained on October 11, 2024.
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(2)
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The Option shall vest as follows, subject to the Reporting Person's continued compliance with any restrictive covenants by which the Reporting Person may be bound and continuous service as an employee of the Issuer or a subsidiary of the Issuer from June 17, 2024, through the applicable vesting date: (A) twenty-five percent (25%) of the shares subject to the Option will vest and thereby become exercisable upon the one-year anniversary of the Grant Date, and (B) 75% of the shares subject to the Option will vest in thirty-six (36) substantially equal monthly installments thereafter.
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(3)
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See Exhibit 99 attached to the Prior Form 4 which is incorporated by reference herein.
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