IMDX

SEC source: 0000919574-25-000922 · ownership.xml · nonDerivative · entry 1

BROADWOOD PARTNERS, L.P. · CIK 0001278386 · 10% owner

BROADWOOD CAPITAL INC · CIK 0001278387 · 10% owner

BRADSHER NEAL C · CIK 0001278388 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,904,612

F3 · kind: On February 6, 2025, Broadwood Partners entered into a Securities Purchase Agreement with Oncocyte Corporation (the "Issuer") pursuant to which Broadwood Partners agreed to acquire 660,207 shares of the Issuer's Common Stock, no par value (the "Common Shares"), from the Issuer in a registered direct offering for a total purchase price of $1,353,424, or $2.05 per Common Share.

F3 · price: On February 6, 2025, Broadwood Partners entered into a Securities Purchase Agreement with Oncocyte Corporation (the "Issuer") pursuant to which Broadwood Partners agreed to acquire 660,207 shares of the Issuer's Common Stock, no par value (the "Common Shares"), from the Issuer in a registered direct offering for a total purchase price of $1,353,424, or $2.05 per Common Share.

F1 · ownership.direct: The reported securities are directly owned by Broadwood Partners, L.P. ("Broadwood Partners") and may be deemed to be beneficially owned by each of: (i) Broadwood Capital, Inc. ("Broadwood Capital"), as General Partner of Broadwood Partners; and (ii) Neal C. Bradsher, as President of Broadwood Capital. Each Reporting Person disclaims beneficial ownership of the reported securities except to the extent of its or his pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0001493152-25-004871 · ownership.xml · nonDerivative · entry 2

SMITH PATRICK W · CIK 0001167028 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 1,795,071

F1 · ownership.nature: The shares of common stock reported herein are directly held by PATRICK W SMITH TTEE THE SMITH IRREVOCABLE TRUST U/A DTD 05/01/2015 (the "Trust"). As the trustee of the Trust, the Reporting Person may be deemed to beneficially own the securities held by the Trust.

SEC source: 0001493152-25-004871 · ownership.xml · nonDerivative · entry 1

SMITH PATRICK W · CIK 0001167028 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 1,795,046

F1 · ownership.nature: The shares of common stock reported herein are directly held by PATRICK W SMITH TTEE THE SMITH IRREVOCABLE TRUST U/A DTD 05/01/2015 (the "Trust"). As the trustee of the Trust, the Reporting Person may be deemed to beneficially own the securities held by the Trust.

SEC source: 0001493152-25-004470 · ownership.xml · nonDerivative · entry 2

SMITH PATRICK W · CIK 0001167028 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 1,794,156

F1 · ownership.nature: The shares of common stock reported herein are directly held by PATRICK W SMITH TTEE THE SMITH IRREVOCABLE TRUST U/A DTD 05/01/2015 (the "Trust"). As the trustee of the Trust, the Reporting Person may be deemed to beneficially own the securities held by the Trust.

SEC source: 0001493152-25-004470 · ownership.xml · nonDerivative · entry 1

SMITH PATRICK W · CIK 0001167028 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 1,793,838

F1 · ownership.nature: The shares of common stock reported herein are directly held by PATRICK W SMITH TTEE THE SMITH IRREVOCABLE TRUST U/A DTD 05/01/2015 (the "Trust"). As the trustee of the Trust, the Reporting Person may be deemed to beneficially own the securities held by the Trust.

SEC source: 0001493152-25-002410 · ownership.xml · nonDerivative · entry 3

SMITH PATRICK W · CIK 0001167028 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 1,789,958

F1 · ownership.nature: The shares of common stock reported herein are directly held by PATRICK W SMITH TTEE THE SMITH IRREVOCABLE TRUST U/A DTD 05/01/2015 (the "Trust"). As the trustee of the Trust, the Reporting Person may be deemed to beneficially own the securities held by the Trust.

SEC source: 0001493152-25-002410 · ownership.xml · nonDerivative · entry 2

SMITH PATRICK W · CIK 0001167028 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 1,779,672

F1 · ownership.nature: The shares of common stock reported herein are directly held by PATRICK W SMITH TTEE THE SMITH IRREVOCABLE TRUST U/A DTD 05/01/2015 (the "Trust"). As the trustee of the Trust, the Reporting Person may be deemed to beneficially own the securities held by the Trust.

SEC source: 0001493152-25-002410 · ownership.xml · nonDerivative · entry 1

SMITH PATRICK W · CIK 0001167028 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 1,779,572

F1 · ownership.nature: The shares of common stock reported herein are directly held by PATRICK W SMITH TTEE THE SMITH IRREVOCABLE TRUST U/A DTD 05/01/2015 (the "Trust"). As the trustee of the Trust, the Reporting Person may be deemed to beneficially own the securities held by the Trust.

SEC source: 0001493152-24-052168 · ownership.xml · nonDerivative · entry 1

Arno Andrew · CIK 0001472122 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 81,554

F1 · price: The price of $2.1080 per share represents a weighted average of prices ranging from $2.1000 to $2.1300 per share. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

SEC source: 0001493152-24-052334 · ownership.xml · nonDerivative · entry 1

SMITH PATRICK W · CIK 0001167028 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 1,773,903

F1 · ownership.nature: The shares of common stock reported herein are directly held by PATRICK W SMITH TTEE THE SMITH IRREVOCABLE TRUST U/A DTD 05/01/2015 (the "Trust"). As the trustee of the Trust, the Reporting Person may be deemed to beneficially own the securities held by the Trust.

SEC source: 0001493152-24-049195 · ownership.xml · nonDerivative · entry 1

James Andrea S. · CIK 0002027010 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 53,670

SEC source: 0001493152-24-041131 · ownership.xml · derivative · entry 2

James Andrea S. · CIK 0002027010 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires not disclosed

F3 · derivative.exercise_price: See Exhibit 99 attached to the Prior Form 4 which is incorporated by reference herein.

F1 · date: 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.

F3 · derivative.exercise_date: See Exhibit 99 attached to the Prior Form 4 which is incorporated by reference herein.

F3 · derivative.expiration_date: See Exhibit 99 attached to the Prior Form 4 which is incorporated by reference herein.

SEC source: 0001493152-24-041131 · ownership.xml · derivative · entry 1

James Andrea S. · CIK 0002027010 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 200,000

Underlying: Common Stock · 200,000 shares

Expires 2034-06-20

F1 · date: 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.

F2 · derivative.exercise_date: 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.

SEC source: 0001493152-24-039603 · ownership.xml · nonDerivative · entry 1

James Andrea S. · CIK 0002027010 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 33,670

F1 · shares: Reflects shares of the Issuer's common stock, no par value, purchased by the Reporting Person from the Issuer in a private placement pursuant to that certain Securities Purchase Agreement, dated as of October 2, 2024, by and among the Issuer and the investors signatory thereto.

SEC source: 0000919574-24-005764 · ownership.xml · nonDerivative · entry 2

BROADWOOD PARTNERS, L.P. · CIK 0001278386 · 10% owner

BROADWOOD CAPITAL INC · CIK 0001278387 · 10% owner

BRADSHER NEAL C · CIK 0001278388 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · Footnote

Disclosed balance after: 6,244,405

F3 · kind: On October 2, 2024, Broadwood Partners entered into a Securities Purchase Agreement with Oncocyte Corporation (the "Issuer") pursuant to which Broadwood Partners agreed to acquire 1,315,339 shares of the Issuer's Common Stock, no par value (the "Common Shares"), from the Issuer in a private placement for a total purchase price of $3,877,619.38, or $2.948 per Common Share.

F1 · ownership.nature: The reported securities are directly owned by Broadwood Partners, L.P. ("Broadwood Partners") and may be deemed to be beneficially owned by each of: (i) Broadwood Capital, Inc. ("Broadwood Capital"), as General Partner of Broadwood Partners; and (ii) Neal C. Bradsher, as President of Broadwood Capital. Each Reporting Person disclaims beneficial ownership of the reported securities except to the extent of its or his pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0000919574-24-005764 · ownership.xml · nonDerivative · entry 1

BROADWOOD PARTNERS, L.P. · CIK 0001278386 · 10% owner

BROADWOOD CAPITAL INC · CIK 0001278387 · 10% owner

BRADSHER NEAL C · CIK 0001278388 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,244,405

F3 · kind: On October 2, 2024, Broadwood Partners entered into a Securities Purchase Agreement with Oncocyte Corporation (the "Issuer") pursuant to which Broadwood Partners agreed to acquire 1,315,339 shares of the Issuer's Common Stock, no par value (the "Common Shares"), from the Issuer in a private placement for a total purchase price of $3,877,619.38, or $2.948 per Common Share.

F3 · price: On October 2, 2024, Broadwood Partners entered into a Securities Purchase Agreement with Oncocyte Corporation (the "Issuer") pursuant to which Broadwood Partners agreed to acquire 1,315,339 shares of the Issuer's Common Stock, no par value (the "Common Shares"), from the Issuer in a private placement for a total purchase price of $3,877,619.38, or $2.948 per Common Share.

F1 · ownership.direct: The reported securities are directly owned by Broadwood Partners, L.P. ("Broadwood Partners") and may be deemed to be beneficially owned by each of: (i) Broadwood Capital, Inc. ("Broadwood Capital"), as General Partner of Broadwood Partners; and (ii) Neal C. Bradsher, as President of Broadwood Capital. Each Reporting Person disclaims beneficial ownership of the reported securities except to the extent of its or his pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0001493152-24-026273 · ownership.xml · derivative · entry 1

Last Andrew J. · CIK 0001485088 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2034-07-01

F1 · derivative.exercise_date: Options shall vest one year from the date of grant, subject to the Reporting Person's continued service as a director of the Issuer from the date of grant until the vesting date or, if earlier, until the next annual meeting of shareholders.

SEC source: 0001493152-24-026274 · ownership.xml · derivative · entry 1

Arno Andrew · CIK 0001472122 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2034-07-01

F1 · derivative.exercise_date: Options shall vest one year from the date of grant, subject to the Reporting Person's continued service as a director of the Issuer from the date of grant until the vesting date or, if earlier, until the next annual meeting of shareholders.

SEC source: 0001493152-24-026272 · ownership.xml · derivative · entry 1

SILVERMAN LOU · CIK 0001249935 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2034-07-01

F1 · derivative.exercise_date: Options shall vest one year from the date of grant, subject to the Reporting Person's continued service as a director of the Issuer from the date of grant until the vesting date or, if earlier, until the next annual meeting of shareholders.

SEC source: 0001493152-24-024981 · ownership.xml · derivative · entry 2

James Andrea S. · CIK 0002027010 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 300,000

Underlying: Common Stock · 100,000 shares

Expires not disclosed

F3 · derivative.exercise_price: See Exhibit 99 attached hereto.

F1 · date: Granted on June 20, 2024 (the "Grant Date"), but such award is subject to shareholder approval of an increase in the number of shares available for issuance under the Oncocyte 2018 Equity Incentive Plan. Following such shareholder approval, an additional Form 4 will be filed with respect to the grant in accordance with pursuant to Section 16(a) of the Securities Exchange Act of 1934, as amended.

F3 · derivative.exercise_date: See Exhibit 99 attached hereto.

F3 · derivative.expiration_date: See Exhibit 99 attached hereto.

SEC source: 0001493152-24-024981 · ownership.xml · derivative · entry 1

James Andrea S. · CIK 0002027010 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 200,000

Underlying: Common Stock · 200,000 shares

Expires not disclosed

F1 · date: Granted on June 20, 2024 (the "Grant Date"), but such award is subject to shareholder approval of an increase in the number of shares available for issuance under the Oncocyte 2018 Equity Incentive Plan. Following such shareholder approval, an additional Form 4 will be filed with respect to the grant in accordance with pursuant to Section 16(a) of the Securities Exchange Act of 1934, as amended.

F2 · derivative.exercise_date: 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 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.

F2 · derivative.expiration_date: 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 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.

SEC source: 0001493152-24-021047 · ownership.xml · derivative · entry 1

Riggs Josh · CIK 0001956391 · Director · CEO and President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 90,000

Underlying: Common Stock · 90,000 shares

Expires 2034-05-20

F1 · derivative.exercise_date: 25% of the options will vest and thereby be exercisable after one year of continuous service from the effective date of grant, and the balance will vest and thereby be exercisable in 36 equal monthly installments commencing one year after the date of grant, subject to continuous service through the applicable vesting date.

SEC source: 0001493152-24-021049 · ownership.xml · derivative · entry 1

Arno Andrew · CIK 0001472122 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2034-05-20

F1 · derivative.exercise_date: 25% of the options will become exercisable after one year of continuous service from the effective date of grant, and the balance will become exercisable in 36 equal monthly installments commencing one year after the date of grant subject to continuous service through the applicable vesting date.

SEC source: 0001493152-24-021055 · ownership.xml · derivative · entry 1

Liu James Yang · CIK 0001944774 · Sr Dir., Cntlr, PAO, Int PFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2034-05-20

F1 · derivative.exercise_date: 25% of the options will become exercisable after one year of continuous service from the effective date of grant, and the balance will become exercisable in 36 equal monthly installments commencing one year after the date of grant subject to continuous service through the applicable vesting date.

SEC source: 0000919574-24-002558 · ownership.xml · derivative · entry 5

BROADWOOD PARTNERS, L.P. · CIK 0001278386 · 10% owner

BROADWOOD CAPITAL INC · CIK 0001278387 · 10% owner

BRADSHER NEAL C · CIK 0001278388 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · Footnote

Disclosed balance after: 0

Underlying: Common Stock · 107,488 shares

Expires not disclosed

F4 · kind: On April 15, 2024, the Issuer mandatorily redeemed all of the 2,941.1765 shares of Series A Convertible Preferred Stock of the Issuer (the "Series A Shares") previously owned by Broadwood Partners in accordance with the terms of the Securities Purchase Agreement with the Issuer to which Broadwood Partners acquired the Series A Shares (the "Series A Purchase Agreement"). Pursuant to the Series A Purchase Agreement, Broadwood Partners received $3,289,144.18, or $1,118.30902 per Series A Share, in redemption proceeds attributable to the Issuer's mandatory redemption. The Series A Shares were convertible at the time of the Issuer's mandatory redemption

F4 · price: On April 15, 2024, the Issuer mandatorily redeemed all of the 2,941.1765 shares of Series A Convertible Preferred Stock of the Issuer (the "Series A Shares") previously owned by Broadwood Partners in accordance with the terms of the Securities Purchase Agreement with the Issuer to which Broadwood Partners acquired the Series A Shares (the "Series A Purchase Agreement"). Pursuant to the Series A Purchase Agreement, Broadwood Partners received $3,289,144.18, or $1,118.30902 per Series A Share, in redemption proceeds attributable to the Issuer's mandatory redemption. The Series A Shares were convertible at the time of the Issuer's mandatory redemption

F4 · derivative.exercise_date: On April 15, 2024, the Issuer mandatorily redeemed all of the 2,941.1765 shares of Series A Convertible Preferred Stock of the Issuer (the "Series A Shares") previously owned by Broadwood Partners in accordance with the terms of the Securities Purchase Agreement with the Issuer to which Broadwood Partners acquired the Series A Shares (the "Series A Purchase Agreement"). Pursuant to the Series A Purchase Agreement, Broadwood Partners received $3,289,144.18, or $1,118.30902 per Series A Share, in redemption proceeds attributable to the Issuer's mandatory redemption. The Series A Shares were convertible at the time of the Issuer's mandatory redemption

F4 · derivative.expiration_date: On April 15, 2024, the Issuer mandatorily redeemed all of the 2,941.1765 shares of Series A Convertible Preferred Stock of the Issuer (the "Series A Shares") previously owned by Broadwood Partners in accordance with the terms of the Securities Purchase Agreement with the Issuer to which Broadwood Partners acquired the Series A Shares (the "Series A Purchase Agreement"). Pursuant to the Series A Purchase Agreement, Broadwood Partners received $3,289,144.18, or $1,118.30902 per Series A Share, in redemption proceeds attributable to the Issuer's mandatory redemption. The Series A Shares were convertible at the time of the Issuer's mandatory redemption

F1 · ownership.nature: The reported securities are directly owned by Broadwood Partners, L.P. ("Broadwood Partners") and may be deemed to be beneficially owned by each of: (i) Broadwood Capital, Inc. ("Broadwood Capital"), as General Partner of Broadwood Partners; and (ii) Neal C. Bradsher, as President of Broadwood Capital. Each Reporting Person disclaims beneficial ownership of the reported securities except to the extent of its or his pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0000919574-24-002558 · ownership.xml · derivative · entry 4

BROADWOOD PARTNERS, L.P. · CIK 0001278386 · 10% owner

BROADWOOD CAPITAL INC · CIK 0001278387 · 10% owner

BRADSHER NEAL C · CIK 0001278388 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 107,488 shares

Expires not disclosed

F4 · kind: On April 15, 2024, the Issuer mandatorily redeemed all of the 2,941.1765 shares of Series A Convertible Preferred Stock of the Issuer (the "Series A Shares") previously owned by Broadwood Partners in accordance with the terms of the Securities Purchase Agreement with the Issuer to which Broadwood Partners acquired the Series A Shares (the "Series A Purchase Agreement"). Pursuant to the Series A Purchase Agreement, Broadwood Partners received $3,289,144.18, or $1,118.30902 per Series A Share, in redemption proceeds attributable to the Issuer's mandatory redemption. The Series A Shares were convertible at the time of the Issuer's mandatory redemption

F4 · price: On April 15, 2024, the Issuer mandatorily redeemed all of the 2,941.1765 shares of Series A Convertible Preferred Stock of the Issuer (the "Series A Shares") previously owned by Broadwood Partners in accordance with the terms of the Securities Purchase Agreement with the Issuer to which Broadwood Partners acquired the Series A Shares (the "Series A Purchase Agreement"). Pursuant to the Series A Purchase Agreement, Broadwood Partners received $3,289,144.18, or $1,118.30902 per Series A Share, in redemption proceeds attributable to the Issuer's mandatory redemption. The Series A Shares were convertible at the time of the Issuer's mandatory redemption

F4 · derivative.exercise_date: On April 15, 2024, the Issuer mandatorily redeemed all of the 2,941.1765 shares of Series A Convertible Preferred Stock of the Issuer (the "Series A Shares") previously owned by Broadwood Partners in accordance with the terms of the Securities Purchase Agreement with the Issuer to which Broadwood Partners acquired the Series A Shares (the "Series A Purchase Agreement"). Pursuant to the Series A Purchase Agreement, Broadwood Partners received $3,289,144.18, or $1,118.30902 per Series A Share, in redemption proceeds attributable to the Issuer's mandatory redemption. The Series A Shares were convertible at the time of the Issuer's mandatory redemption

F4 · derivative.expiration_date: On April 15, 2024, the Issuer mandatorily redeemed all of the 2,941.1765 shares of Series A Convertible Preferred Stock of the Issuer (the "Series A Shares") previously owned by Broadwood Partners in accordance with the terms of the Securities Purchase Agreement with the Issuer to which Broadwood Partners acquired the Series A Shares (the "Series A Purchase Agreement"). Pursuant to the Series A Purchase Agreement, Broadwood Partners received $3,289,144.18, or $1,118.30902 per Series A Share, in redemption proceeds attributable to the Issuer's mandatory redemption. The Series A Shares were convertible at the time of the Issuer's mandatory redemption

F1 · ownership.direct: The reported securities are directly owned by Broadwood Partners, L.P. ("Broadwood Partners") and may be deemed to be beneficially owned by each of: (i) Broadwood Capital, Inc. ("Broadwood Capital"), as General Partner of Broadwood Partners; and (ii) Neal C. Bradsher, as President of Broadwood Capital. Each Reporting Person disclaims beneficial ownership of the reported securities except to the extent of its or his pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0001493152-24-014512 · ownership.xml · nonDerivative · entry 1

Riggs Josh · CIK 0001956391 · Director · CEO and President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,505

F1 · shares: Reflects shares of the Issuer's common stock, no par value, purchased by the Reporting Person from the Issuer in a private offering.

SEC source: 0001493152-24-014509 · ownership.xml · nonDerivative · entry 1

Arno Andrew · CIK 0001472122 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 69,054

F1 · shares: Reflects shares of the Issuer's common stock, no par value ("Common Stock"), purchased by the Reporting Person from the Issuer in a private offering.

SEC source: 0000919574-24-002558 · ownership.xml · nonDerivative · entry 2

BROADWOOD PARTNERS, L.P. · CIK 0001278386 · 10% owner

BROADWOOD CAPITAL INC · CIK 0001278387 · 10% owner

BRADSHER NEAL C · CIK 0001278388 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · Footnote

Disclosed balance after: 4,929,066

F3 · kind: On April 11, 2024, Broadwood Partners entered into a Securities Purchase Agreement with Oncocyte Corporation (the "Issuer") pursuant to which Broadwood Partners agreed to acquire 2,420,000 shares of the Issuer's Common Stock, no par value (the "Common Shares"), from the Issuer in a private placement for a total purchase price of $7,057,688, or $2.9164 per Common Share.

F1 · ownership.nature: The reported securities are directly owned by Broadwood Partners, L.P. ("Broadwood Partners") and may be deemed to be beneficially owned by each of: (i) Broadwood Capital, Inc. ("Broadwood Capital"), as General Partner of Broadwood Partners; and (ii) Neal C. Bradsher, as President of Broadwood Capital. Each Reporting Person disclaims beneficial ownership of the reported securities except to the extent of its or his pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0000919574-24-002558 · ownership.xml · nonDerivative · entry 1

BROADWOOD PARTNERS, L.P. · CIK 0001278386 · 10% owner

BROADWOOD CAPITAL INC · CIK 0001278387 · 10% owner

BRADSHER NEAL C · CIK 0001278388 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,929,066

F3 · kind: On April 11, 2024, Broadwood Partners entered into a Securities Purchase Agreement with Oncocyte Corporation (the "Issuer") pursuant to which Broadwood Partners agreed to acquire 2,420,000 shares of the Issuer's Common Stock, no par value (the "Common Shares"), from the Issuer in a private placement for a total purchase price of $7,057,688, or $2.9164 per Common Share.

F3 · price: On April 11, 2024, Broadwood Partners entered into a Securities Purchase Agreement with Oncocyte Corporation (the "Issuer") pursuant to which Broadwood Partners agreed to acquire 2,420,000 shares of the Issuer's Common Stock, no par value (the "Common Shares"), from the Issuer in a private placement for a total purchase price of $7,057,688, or $2.9164 per Common Share.

F1 · ownership.direct: The reported securities are directly owned by Broadwood Partners, L.P. ("Broadwood Partners") and may be deemed to be beneficially owned by each of: (i) Broadwood Capital, Inc. ("Broadwood Capital"), as General Partner of Broadwood Partners; and (ii) Neal C. Bradsher, as President of Broadwood Capital. Each Reporting Person disclaims beneficial ownership of the reported securities except to the extent of its or his pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0001493152-23-037054 · ownership.xml · derivative · entry 1

Liu James Yang · CIK 0001944774 · Sr Dir Controller PAO Int PFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,482

Underlying: Common Stock · 8,482 shares

Expires 2033-10-10

F1 · derivative.exercise_date: 25% of the options will become exercisable after one year of continuous service from the effective date of grant, and the balance will become exercisable in 36 equal monthly installments commencing one year after the date of grant subject to continuous service through the applicable vesting date.

SEC source: 0001493152-23-029347 · ownership.xml · derivative · entry 1

Riggs Josh · CIK 0001956391 · Director · CEO and President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2033-08-15

F1 · derivative.exercise_date: The options will vest and thereby be exercisable on December 31, 2025, based on achievement of certain specified targets with respect to the 30-day volume-weighted average price of Company's common stock, measured as of the end of each full calendar month up through December 31, 2025, subject to continuous services through December 31, 2025.

SEC source: 0000899243-23-016837 · doc4.xml · derivative · entry 5

Gutfreund John Peter · CIK 0001940797 · Former Director

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 0

Underlying: Common Stock · 3,001,876 shares

Expires 2027-04-19

F8 · shares: Represents warrants to purchase shares of Common Stock (the "Warrants") that were distributed by the Halle Fund on a pro rata basis to its members (the "Halle Warrant Distribution").

F9 · derivative.exercise_date: The Warrants are currently exercisable, subject to a beneficial ownership limitation of 4.99%.

F3 · ownership.nature: The Reporting Person states that neither the filing of this statement nor anything herein shall be deemed an admission that such person is, for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or otherwise, the beneficial owner of any securities covered by this statement. The Reporting Person disclaims beneficial ownership of the securities covered by this statement, except to the extent of the pecuniary interest of the Reporting Person in such securities.

F10 · ownership.nature: Represents Warrants directly beneficially owned by the Halle Fund. The Reporting Person is the investment manager and a control person of Halle Capital Partners GP LLC, the managing member of the Halle Fund. In such capacity, the Reporting Person may be deemed to beneficially own any securities directly owned by the Halle Fund.

SEC source: 0000899243-23-016837 · doc4.xml · nonDerivative · entry 1

Gutfreund John Peter · CIK 0001940797 · Former Director

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 0

F1 · shares: Represents shares of Common Stock of Oncocyte Corporation (the "Issuer"), no par value (the "Common Stock"), that were distributed by Halle Special Situations Fund LLC (the "Halle Fund") on a pro rata basis to its members (the "Halle Common Stock Distribution").

F2 · ownership.nature: Represents shares of Common Stock directly beneficially owned by the Halle Fund. John Peter Gutfreund (the "Reporting Person") is the investment manager and a control person of Halle Capital Partners GP LLC, the managing member of the Halle Fund. In such capacity, the Reporting Person may be deemed to beneficially own any securities directly owned by the Halle Fund.

F3 · ownership.nature: The Reporting Person states that neither the filing of this statement nor anything herein shall be deemed an admission that such person is, for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or otherwise, the beneficial owner of any securities covered by this statement. The Reporting Person disclaims beneficial ownership of the securities covered by this statement, except to the extent of the pecuniary interest of the Reporting Person in such securities.

SEC source: 0001493152-23-022669 · ownership.xml · derivative · entry 2

Last Andrew J. · CIK 0001485088 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 90,000

Underlying: Common Stock · 90,000 shares

Expires 2033-06-23

F2 · derivative.exercise_date: Options shall vest one year from the date of grant, subject to the Reporting Person's continued service as a director of the Issuer from the date of grant until the vesting date or, if earlier, until the next annual meeting of shareholders.

SEC source: 0001493152-23-022669 · ownership.xml · nonDerivative · entry 1

Last Andrew J. · CIK 0001485088 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 90,170

F1 · security: The Restricted Stock Units shall vest one year from the date of grant, subject to the Reporting Person's continued service as a director of the Issuer from the date of grant until the vesting date or, if earlier, until the next annual meeting of shareholders.

SEC source: 0001493152-23-022668 · ownership.xml · derivative · entry 4

Arno Andrew · CIK 0001472122 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 135,000

Underlying: Common Stock · 135,000 shares

Expires 2033-06-23

F4 · derivative.exercise_date: Options shall vest one year from the date of grant, subject to the Reporting Person's continued service as a director of the Issuer from the date of grant until the vesting date or, if earlier, until the next annual meeting of shareholders.

SEC source: 0001493152-23-022668 · ownership.xml · nonDerivative · entry 1

Arno Andrew · CIK 0001472122 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 703,133

F1 · security: The Restricted Stock Units shall vest one year from the date of grant, subject to the Reporting Person's continued service as a director of the Issuer from the date of grant until the vesting date or, if earlier, until the next annual meeting of shareholders.

SEC source: 0001493152-23-022666 · ownership.xml · derivative · entry 2

SILVERMAN LOU · CIK 0001249935 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 112,500

Underlying: Common Stock · 112,500 shares

Expires 2033-06-23

F2 · derivative.exercise_date: Options shall vest one year from the date of grant, subject to the Reporting Person's continued service as a director of the Issuer from the date of grant until the vesting date or, if earlier, until the next annual meeting of shareholders.

SEC source: 0001493152-23-022666 · ownership.xml · nonDerivative · entry 1

SILVERMAN LOU · CIK 0001249935 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 31,270

F1 · security: The Restricted Stock Units shall vest one year from the date of grant, subject to the Reporting Person's continued service as a director of the Issuer from the date of grant until the vesting date or, if earlier, until the next annual meeting of shareholders.

SEC source: 0001493152-23-022667 · ownership.xml · derivative · entry 4

KINGSLEY ALFRED D · CIK 0001229339 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 90,000

Underlying: Common Stock · 90,000 shares

Expires 2033-06-23

F4 · derivative.exercise_date: Options shall vest one year from the date of grant, subject to the Reporting Person's continued service as a director of the Issuer from the date of grant until the vesting date or, if earlier, until the next annual meeting of shareholders.

SEC source: 0001493152-23-022667 · ownership.xml · nonDerivative · entry 1

KINGSLEY ALFRED D · CIK 0001229339 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 489,111

F1 · security: The Restricted Stock Units shall vest one year from the date of grant, subject to the Reporting Person's continued service as a director of the Issuer from the date of grant until the vesting date or, if earlier, until the next annual meeting of shareholders.

SEC source: 0001493152-23-021531 · ownership.xml · nonDerivative · entry 1

KINGSLEY ALFRED D · CIK 0001229339 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 469,111

SEC source: 0001493152-23-021059 · ownership.xml · derivative · entry 2

Riggs Josh · CIK 0001956391 · Director · CEO and President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 800,000

Underlying: Common Stock · 800,000 shares

Expires 2033-06-09

F2 · derivative.exercise_date: The options will vest and thereby be exercisable on December 31, 2025, based on achievement of certain specified targets with respect to the 30-day volume-weighted average price of Company's common stock, measured as of the end of each full calendar month up through December 31, 2025, subject to continuous services through December 31, 2025.

SEC source: 0001493152-23-021059 · ownership.xml · derivative · entry 1

Riggs Josh · CIK 0001956391 · Director · CEO and President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 350,000

Underlying: Common Stock · 350,000 shares

Expires 2033-06-09

F1 · derivative.exercise_date: 25% of the options will vest and thereby be exercisable after one year of continuous service from the effective date of grant, and the balance will vest and thereby be exercisable in 36 equal monthly installments commencing one year after the date of grant, subject to continuous service through the applicable vesting date.

SEC source: 0001209191-23-023828 · doc4.xml · nonDerivative · entry 1

PURA VIDA INVESTMENTS, LLC · CIK 0001590144 · 10% owner

Kamen Efrem · CIK 0001789193 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · By Pura Vida Master Fund, Ltd.

Disclosed balance after: 8,090,202

F1 · ownership.nature: Shares reported herein are owned by Pura Vida Master Fund, Ltd., Pura Vida X Fund LP, and Lockheed Martin Corporation Master Retirement Trust (the "Retirement Trust"), and certain separately managed accounts (the "Managed Accounts" and collectively, the "Client Accounts"). Pura Vida Investments, LLC ("PVI") serves as the investment manager or sub-adviser to the Client Accounts. Efrem Kamen serves as the Managing Member of PVI.

F2 · ownership.nature: By virtue of these relationships, the Reporting Persons may be deemed to have shared voting and dispositive power with respect to the securities owned directly by the Client Accounts. This report shall not be deemed an admission that the Reporting Persons are beneficial owners of the securities for purposes of Sections 13 and 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of the Reporting Person's pecuniary interest therein, if any.

SEC source: 0001493152-23-011104 · ownership.xml · nonDerivative · entry 3

Arno Andrew · CIK 0001472122 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 156,084

F2 · ownership.nature: These shares of Common Stock are held by MJA Investments LLC ("MJA"). The Reporting Person is the Manager of MJA and in such capacity has the right to vote and dispose of securities held by MJA.

SEC source: 0001493152-23-011104 · ownership.xml · nonDerivative · entry 2

Arno Andrew · CIK 0001472122 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 156,084

F1 · ownership.nature: These shares of the Issuer's common stock, no par value ("Common Stock"), are held by JBA Investments LLC ("JBA"). The Reporting Person is the Manager of JBA and in such capacity has the right to vote and dispose of securities held by JBA.

SEC source: 0001493152-23-011104 · ownership.xml · nonDerivative · entry 1

Arno Andrew · CIK 0001472122 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 673,133

SEC source: 0000919574-23-002420 · ownership.xml · nonDerivative · entry 2

BROADWOOD PARTNERS, L.P. · CIK 0001278386 · 10% owner

BROADWOOD CAPITAL INC · CIK 0001278387 · 10% owner

BRADSHER NEAL C · CIK 0001278388 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · Footnote

Disclosed balance after: 50,181,335

F3 · kind: On April 3, 2023, Broadwood Partners entered into a Securities Purchase Agreement with Oncocyte Corporation (the "Issuer") pursuant to which Broadwood Partners agreed to acquire 26,827,638 shares of the Issuer's Common Stock, no par value (the "Common Shares"), from the Issuer in its registered direct offering for a total purchase price of $8,093,361.84, or $0.30168 per Common Share.

F1 · ownership.nature: The reported securities are directly owned by Broadwood Partners, L.P. ("Broadwood Partners") and may be deemed to be indirectly beneficially owned by: (i) Broadwood Capital, Inc. ("Broadwood Capital") as General Partner of Broadwood Partners; and (ii) Neal C. Bradsher as President of Broadwood Capital. Each Reporting Person disclaims beneficial ownership of the reported securities except to the extent of its or his pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.