Last 12 months
Inside the activity.
14 purchase rows · 0 sale rows
Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.Monthly counts
| Month | Purchases | Sales |
|---|---|---|
| Nov 2025 | 0 | 0 |
| Dec 2025 | 0 | 0 |
| Jan 2026 | 0 | 0 |
| Feb 2026 | 2 | 0 |
| Mar 2026 | 0 | 0 |
| Apr 2026 | 12 | 0 |
| May 2026 | 0 | 0 |
| Jun 2026 | 0 | 0 |
| Jul 2026 | 0 | 0 |
| Aug 2026 | 0 | 0 |
| Sep 2026 | 0 | 0 |
| Oct 2026 | 0 | 0 |
Latest available
Insider transactions
Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Owner / reported role | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| March 14, 2019 Filed Mar 18, 2019 19:53 UTC |
Parker Albert PChief Operating Officer
|
GrantOption to Purchase Common Stock · Derivative | 200,000 | $0.00 Strike: $3.52 | $0.00 |
DisclosureSEC source: 0001209191-19-020133 · doc4.xml · derivative · entry 1 Parker Albert P · CIK 0001750079 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 200,000 Underlying: Common Stock · 200,000 shares Expires 2029-03-13 F1 · derivative.exercise_date: One quarter of the options shall vest upon the completion of one year of continuous service from the date of grant on March 14, 2019 and the balance shall vest in 36 equal monthly installments commencing on the first anniversary of the date of grant, based on continuous service on the applicable vesting date. Read SEC document |
| March 14, 2019 Filed Mar 18, 2019 19:58 UTC |
HESTERBERG LYNDAL K.Chief Scientific Officer
|
GrantOption to Purchase Common Stock · Derivative | 350,000 | $0.00 Strike: $3.52 | $0.00 |
DisclosureSEC source: 0001209191-19-020135 · doc4.xml · derivative · entry 1 HESTERBERG LYNDAL K. · CIK 0001689836 · Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 350,000 Underlying: Common Stock · 350,000 shares Expires 2029-03-13 F1 · derivative.exercise_date: One quarter of the options shall vest upon the completion of one year of continuous service from the date of grant on March 14, 2019 and the balance shall vest in 36 equal monthly installments commencing on the first anniversary of the date of grant, based on continuous service on the applicable vesting date. Read SEC document |
| March 14, 2019 Filed Mar 18, 2019 20:02 UTC |
Levine Mitchell SChief Financial Officer
|
GrantRestricted Stock Units · Derivative | 20,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-020138 · doc4.xml · derivative · entry 2 Levine Mitchell S · CIK 0001383492 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 20,000 shares Expires not disclosed F2 · derivative.exercise_price: Grant of restricted stock units under the OncoCye 2018 Equity Incentive Plan. Each restricted stock unit represents a contingent right to receive one share of Common Stock. F3 · derivative.exercise_date: The restricted stock units shall vest upon the completion of one year of continuous service from the date of grant. F3 · derivative.expiration_date: The restricted stock units shall vest upon the completion of one year of continuous service from the date of grant. Read SEC document |
| March 14, 2019 Filed Mar 18, 2019 20:02 UTC |
Levine Mitchell SChief Financial Officer
|
GrantOption to Purchase Common Stock · Derivative | 245,000 | $0.00 Strike: $3.52 | $0.00 |
DisclosureSEC source: 0001209191-19-020138 · doc4.xml · derivative · entry 1 Levine Mitchell S · CIK 0001383492 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 245,000 Underlying: Common Stock · 245,000 shares Expires 2019-03-13 F1 · derivative.exercise_date: One quarter of the options shall vest upon the completion of one year of continuous service from the date of grant on March 14, 2019 and the balance shall vest in 36 equal monthly installments commencing on the first anniversary of the date of grant, based on continuous service on the applicable vesting date. Read SEC document |
| March 14, 2019 Filed Mar 19, 2019 00:06 UTC |
ANNETT WILLIAMDirector · President and CEO
|
GrantOption to Purchase Common Stock · Derivative | 390,000 | $0.00 Strike: $3.52 | $0.00 |
DisclosureSEC source: 0001209191-19-020142 · doc4.xml · derivative · entry 1 ANNETT WILLIAM · CIK 0001662553 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 390,000 Underlying: Common Stock · 390,000 shares Expires 2029-03-13 F1 · derivative.exercise_date: One quarter of the options shall vest upon the completion of one year of continuous service from the date of grant on March 14, 2019 and the balance shall vest in 36 equal monthly installments commencing on the first anniversary of the date of grant, based on continuous service on the applicable vesting date. Read SEC document |
| February 15, 2019 Filed Feb 27, 2019 21:56 UTC |
MOHANTY ADITYA P.Director
|
GrantOption to Purchase Common Stock · Derivative | 33,750 | $0.00 Strike: $3.80 | $0.00 |
DisclosureSEC source: 0001209191-19-014338 · doc4.xml · derivative · entry 1 MOHANTY ADITYA P. · CIK 0001629819 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,750 Underlying: Common Stock · 33,750 shares Expires 2029-02-14 F1 · derivative.exercise_date: Options shall vest one year from the date of grant, subject to the director's continued service as a director of the Company or a subsidiary from the date of grant until the vesting date or, if earlier, until the next annual meeting of shareholders. Read SEC document |
| February 08, 2019 Filed Feb 12, 2019 22:23 UTC |
BROADWOOD PARTNERS, L.P.10% owner
BROADWOOD CAPITAL INC10% owner
Bradsher Neal C10% owner
|
PurchaseCommon Stock, no par value | 0 | $3.75 | $0.00 |
DisclosureSEC source: 0000919574-19-001040 · 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: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 8,098,267 F2 · ownership.nature: The reported securities are directly owned by Broadwood Partners, L.P. and may be deemed to be beneficially owned by Broadwood Capital, Inc. as General Partner of Broadwood Partners, L.P. and Neal C. Bradsher as President of Broadwood Capital, Inc. The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of his or its 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. Read SEC document |
| February 08, 2019 Filed Feb 12, 2019 22:23 UTC |
BROADWOOD PARTNERS, L.P.10% owner
BROADWOOD CAPITAL INC10% owner
Bradsher Neal C10% owner
|
PurchaseCommon Stock, no par value | 533,333 | $3.75 | $1,999,998.75 |
DisclosureSEC source: 0000919574-19-001040 · 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: Not disclosed Ownership: Direct Disclosed balance after: 8,098,267 F1 · ownership.direct: These securities are directly owned by Broadwood Partners, L.P. Read SEC document |
| August 30, 2018 Filed Sep 5, 2018 01:45 UTC |
Last Andrew J.Director
|
GrantOption to Purchase Common Stock · Derivative | 45,000 | $0.00 Strike: $2.40 | $0.00 |
DisclosureSEC source: 0001209191-18-049414 · doc4.xml · derivative · entry 2 Last Andrew J. · CIK 0001485088 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,000 Underlying: Common Stock · 45,000 shares Expires 2028-08-29 F1 · derivative.exercise_date: Options shall vest one year from the date of grant, subject to the director's continued service as a director of the Company or a subsidiary from the date of grant until the vesting date or, if earlier, until the next annual meeting of shareholders. Read SEC document |
| August 30, 2018 Filed Sep 5, 2018 01:33 UTC |
Arno AndrewDirector
|
GrantOption to Purchase Common Stock · Derivative | 45,000 | $0.00 Strike: $2.40 | $0.00 |
DisclosureSEC source: 0001209191-18-049408 · doc4.xml · derivative · entry 2 Arno Andrew · CIK 0001472122 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,000 Underlying: Common Stock · 45,000 shares Expires 2028-08-29 F1 · derivative.exercise_date: Options shall vest one year from the date of grant, subject to the director's continued service as a director of the Company or a subsidiary from the date of grant until the vesting date or, if earlier, until the next annual meeting of shareholders. Read SEC document |
| August 30, 2018 Filed Sep 4, 2018 21:37 UTC |
Redmond Cavan M.Director
|
GrantOption to Purchase Common Stock · Derivative | 50,000 | $0.00 Strike: $2.40 | $0.00 |
DisclosureSEC source: 0001209191-18-049410 · doc4.xml · derivative · entry 2 Redmond Cavan M. · CIK 0001420120 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,000 Underlying: Common Stock · 50,000 shares Expires 2028-08-29 F1 · derivative.exercise_date: Options shall vest one year from the date of grant, subject to the director's continued service as a director of the Company or a subsidiary from the date of grant until the vesting date or, if earlier, until the next annual meeting of shareholders. Read SEC document |
| August 30, 2018 Filed Sep 5, 2018 01:40 UTC |
ANDREWS RONALD ASBURYDirector
|
GrantOption to Purchase Common Stock · Derivative | 45,000 | $0.00 Strike: $2.40 | $0.00 |
DisclosureSEC source: 0001209191-18-049412 · doc4.xml · derivative · entry 2 ANDREWS RONALD ASBURY · CIK 0001299153 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,000 Underlying: Common Stock · 45,000 shares Expires 2028-08-29 F1 · derivative.exercise_date: Options shall vest one year from the date of grant, subject to the director's continued service as a director of the Company or a subsidiary from the date of grant until the vesting date or, if earlier, until the next annual meeting of shareholders. Read SEC document |
| August 30, 2018 Filed Sep 4, 2018 21:51 UTC |
KINGSLEY ALFRED DDirector
|
GrantOption to Purchase Common Stock · Derivative | 45,000 | $0.00 Strike: $2.40 | $0.00 |
DisclosureSEC source: 0001209191-18-049416 · doc4.xml · derivative · entry 4 KINGSLEY ALFRED D · CIK 0001229339 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,000 Underlying: Common Stock · 45,000 shares Expires 2028-08-29 F1 · derivative.exercise_date: Options shall vest one year from the date of grant, subject to the director's continued service as a director of the Company or a subsidiary from the date of grant until the vesting date or, if earlier, until the next annual meeting of shareholders. Read SEC document |
| July 26, 2018 Filed Jul 31, 2018 21:38 UTC |
HESTERBERG LYNDAL K.Sr VP, Research & Development
|
PurchaseCommon stock purchase warrants · Derivative | 874 | Not disclosed Strike: $3.00 | Not disclosed |
DisclosureSEC source: 0001493152-18-010762 · ownership.xml · derivative · entry 2 HESTERBERG LYNDAL K. · CIK 0001689836 · Sr VP, Research & Development 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 874 Underlying: Common stock · 874 shares Expires 2024-02-01 F1 · price: The shares of common stock and the common stock purchase warrants reported in this Form were purchased in "units," with each unit consisting of one share of common stock and one common stock purchase warrant. The purchase price per unit was $2.86. Read SEC document |
| July 26, 2018 Filed Jul 31, 2018 21:38 UTC |
HESTERBERG LYNDAL K.Sr VP, Research & Development
|
PurchaseCommon stock, no par value | 874 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001493152-18-010762 · ownership.xml · nonDerivative · entry 1 HESTERBERG LYNDAL K. · CIK 0001689836 · Sr VP, Research & Development 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 874 F1 · price: The shares of common stock and the common stock purchase warrants reported in this Form were purchased in "units," with each unit consisting of one share of common stock and one common stock purchase warrant. The purchase price per unit was $2.86. Read SEC document |
| July 26, 2018 Filed Aug 1, 2018 01:38 UTC |
Last Andrew J.Director
|
PurchaseCommon stock purchase warrants · Derivative | 6,993 | Not disclosed Strike: $3.00 | Not disclosed |
DisclosureSEC source: 0001493152-18-010761 · ownership.xml · derivative · entry 2 Last Andrew J. · CIK 0001485088 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,993 Underlying: Common stock · 6,993 shares Expires 2024-02-01 F1 · price: The shares of common stock and the common stock purchase warrants reported in this Form were purchased in "units," with each unit consisting of one share of common stock and one common stock purchase warrant. The purchase price per unit was $2.86. Read SEC document |
| July 26, 2018 Filed Aug 1, 2018 01:38 UTC |
Last Andrew J.Director
|
PurchaseCommon stock, no par value | 6,993 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001493152-18-010761 · ownership.xml · nonDerivative · entry 1 Last Andrew J. · CIK 0001485088 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,993 F1 · price: The shares of common stock and the common stock purchase warrants reported in this Form were purchased in "units," with each unit consisting of one share of common stock and one common stock purchase warrant. The purchase price per unit was $2.86. Read SEC document |
| July 26, 2018 Filed Aug 1, 2018 01:38 UTC |
Arno AndrewDirector
|
PurchaseCommon stock purchase warrants · Derivative | 52,447 | Not disclosed Strike: $3.00 | Not disclosed |
DisclosureSEC source: 0001493152-18-010760 · ownership.xml · derivative · entry 2 Arno Andrew · CIK 0001472122 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 52,447 Underlying: Common stock · 52,447 shares Expires 2024-02-01 F1 · price: The shares of common stock and the common stock purchase warrants reported in this Form were purchased in "units," with each unit consisting of one share of common stock and one common stock purchase warrant. The purchase price per unit was $2.86. Read SEC document |
| July 26, 2018 Filed Aug 1, 2018 01:38 UTC |
Arno AndrewDirector
|
PurchaseCommon stock, no par value | 52,447 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001493152-18-010760 · ownership.xml · nonDerivative · entry 1 Arno Andrew · CIK 0001472122 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 52,447 F1 · price: The shares of common stock and the common stock purchase warrants reported in this Form were purchased in "units," with each unit consisting of one share of common stock and one common stock purchase warrant. The purchase price per unit was $2.86. Read SEC document |
| July 26, 2018 Filed Jul 31, 2018 21:39 UTC |
Redmond Cavan M.Director
|
PurchaseCommon stock purchase warrants · Derivative | 52,447 | Not disclosed Strike: $3.00 | Not disclosed |
DisclosureSEC source: 0001493152-18-010763 · ownership.xml · derivative · entry 2 Redmond Cavan M. · CIK 0001420120 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 52,447 Underlying: Common stock · 52,447 shares Expires 2024-02-01 F1 · price: The shares of common stock and the common stock purchase warrants reported in this Form were purchased in "units," with each unit consisting of one share of common stock and one common stock purchase warrant. The purchase price per unit was $2.86. Read SEC document |
| July 26, 2018 Filed Jul 31, 2018 21:39 UTC |
Redmond Cavan M.Director
|
PurchaseCommon stock, no par value | 52,447 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001493152-18-010763 · ownership.xml · nonDerivative · entry 1 Redmond Cavan M. · CIK 0001420120 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 52,447 F1 · price: The shares of common stock and the common stock purchase warrants reported in this Form were purchased in "units," with each unit consisting of one share of common stock and one common stock purchase warrant. The purchase price per unit was $2.86. Read SEC document |
| July 26, 2018 Filed Aug 1, 2018 01:39 UTC |
ANDREWS RONALD ASBURYDirector
|
PurchaseCommon stock purchase warrants · Derivative | 17,482 | Not disclosed Strike: $3.00 | Not disclosed |
DisclosureSEC source: 0001493152-18-010765 · ownership.xml · derivative · entry 2 ANDREWS RONALD ASBURY · CIK 0001299153 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,482 Underlying: Common stock · 17,482 shares Expires 2024-02-01 F1 · price: The shares of common stock and the common stock purchase warrants reported in this Form were purchased in "units," with each unit consisting of one share of common stock and one common stock purchase warrant. The purchase price per unit was $2.86. Read SEC document |
| July 26, 2018 Filed Aug 1, 2018 01:39 UTC |
ANDREWS RONALD ASBURYDirector
|
PurchaseCommon stock, no par value | 17,482 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001493152-18-010765 · ownership.xml · nonDerivative · entry 1 ANDREWS RONALD ASBURY · CIK 0001299153 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,482 F1 · price: The shares of common stock and the common stock purchase warrants reported in this Form were purchased in "units," with each unit consisting of one share of common stock and one common stock purchase warrant. The purchase price per unit was $2.86. Read SEC document |
| July 26, 2018 Filed Jul 31, 2018 21:39 UTC |
Levine Mitchell SChief Financial Officer
|
PurchaseCommon stock purchase warrants · Derivative | 3,495 | Not disclosed Strike: $3.00 | Not disclosed |
DisclosureSEC source: 0001493152-18-010764 · ownership.xml · derivative · entry 2 Levine Mitchell S · CIK 0001383492 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,495 Underlying: Common stock · 3,495 shares Expires 2024-02-01 F1 · price: The shares of common stock and the common stock purchase warrants reported in this Form were purchased in "units," with each unit consisting of one share of common stock and one common stock purchase warrant. The purchase price per unit was $2.86. Read SEC document |
| July 26, 2018 Filed Jul 31, 2018 21:39 UTC |
Levine Mitchell SChief Financial Officer
|
PurchaseCommon stock, no par value | 3,495 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001493152-18-010764 · ownership.xml · nonDerivative · entry 1 Levine Mitchell S · CIK 0001383492 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,495 F1 · price: The shares of common stock and the common stock purchase warrants reported in this Form were purchased in "units," with each unit consisting of one share of common stock and one common stock purchase warrant. The purchase price per unit was $2.86. Read SEC document |
| July 26, 2018 Filed Aug 1, 2018 01:40 UTC |
ANNETT WILLIAMDirector · President and CEO
|
PurchaseCommon stock purchase warrants · Derivative | 3,500 | Not disclosed Strike: $3.00 | Not disclosed |
DisclosureSEC source: 0001493152-18-010766 · ownership.xml · derivative · entry 2 ANNETT WILLIAM · CIK 0001662553 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,500 Underlying: Common stock · 3,500 shares Expires 2024-02-01 F1 · price: The shares of common stock and the common stock purchase warrants reported in this Form were purchased in "units," with each unit consisting of one share of common stock and one common stock purchase warrant. The purchase price per unit was $2.86. Read SEC document |
| July 26, 2018 Filed Aug 1, 2018 01:40 UTC |
ANNETT WILLIAMDirector · President and CEO
|
PurchaseCommon stock, no par value | 3,500 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001493152-18-010766 · ownership.xml · nonDerivative · entry 1 ANNETT WILLIAM · CIK 0001662553 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,500 F1 · price: The shares of common stock and the common stock purchase warrants reported in this Form were purchased in "units," with each unit consisting of one share of common stock and one common stock purchase warrant. The purchase price per unit was $2.86. Read SEC document |
| June 13, 2018 Filed Jun 15, 2018 18:00 UTC |
Levine Mitchell SChief Financial Officer
|
GrantOption to Purchase Common Stock · Derivative | 45,000 | $0.00 Strike: $2.55 | $0.00 |
DisclosureSEC source: 0001209191-18-038141 · doc4.xml · derivative · entry 1 Levine Mitchell S · CIK 0001383492 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,000 Underlying: Common Stock · 45,000 shares Expires 2028-06-12 F1 · derivative.exercise_date: One half of the options shall vest upon acceptance of the completion of the clinical validation study manuscript for OncoCyte's DetermaVu product candidate, and the balance shall vest upon the start of the clinical utility study for OncoCyte's DetermaVu product candidate. Read SEC document |
| June 07, 2018 Filed Jun 11, 2018 23:31 UTC |
MECHEM KRISTINE C.VP of Marketing
|
GrantOption to Purchase Common Stock · Derivative | 50,000 | $0.00 Strike: $2.85 | $0.00 |
DisclosureSEC source: 0001209191-18-037121 · doc4.xml · derivative · entry 1 MECHEM KRISTINE C. · CIK 0001662454 · VP of Marketing 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,000 Underlying: Common Stock · 50,000 shares Expires 2028-06-06 F1 · derivative.exercise_date: One half of these options shall vest on the filing of the Medicare dossier for the Medicare local coverage determination for OncoCyte's DetermaVu product candidate, subject to continuous employment on such date, and the balance shall vest on the date of return from sabbatical and obtaining a Medicare local coverage determination for OncoCyte's DetermaVu product candidate, subject to continuous employment on such date. Read SEC document |
| May 23, 2018 Filed Jun 1, 2018 21:26 UTC |
Levine Mitchell SChief Financial Officer
|
GrantOption to Purchase Common Stock · Derivative | 125,000 | $0.00 Strike: $2.35 | $0.00 |
DisclosureSEC source: 0001209191-18-034891 · doc4.xml · derivative · entry 2 Levine Mitchell S · CIK 0001383492 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 125,000 Underlying: Common Stock · 125,000 shares Expires 2028-05-22 F2 · derivative.exercise_date: These options vest as to one-third of the shares on each of the completion of the clinical utility study for OncoCyte's DetermaVu product candidate, the filing of the Medicare dossier for the Medicare local coverage determination, and obtaining a Medicare local coverage determination for OncoCyte's DetermaVu product candidate. Read SEC document |
| May 23, 2018 Filed Jun 1, 2018 21:26 UTC |
Levine Mitchell SChief Financial Officer
|
GrantOption to Purchase Common Stock · Derivative | 50,000 | $0.00 Strike: $2.35 | $0.00 |
DisclosureSEC source: 0001209191-18-034891 · doc4.xml · derivative · entry 1 Levine Mitchell S · CIK 0001383492 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,000 Underlying: Common Stock · 50,000 shares Expires 2028-05-22 F1 · derivative.exercise_date: One quarter of the options shall vest on the one-year anniversary of the grant date and the balance shall vest thereafter in 36 equal monthly installments. Read SEC document |
| May 23, 2018 Filed Jun 1, 2018 23:41 UTC |
ANNETT WILLIAMDirector · President and CEO
|
GrantOption to Purchase Common Stock · Derivative | 180,000 | $0.00 Strike: $2.35 | $0.00 |
DisclosureSEC source: 0001209191-18-034866 · doc4.xml · derivative · entry 1 ANNETT WILLIAM · CIK 0001662553 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 180,000 Underlying: Common Stock · 180,000 shares Expires 2028-05-22 F1 · derivative.exercise_date: One quarter of the options shall vest upon completion of the clinical utility study for OncoCyte's DetermaVu product candidate and OncoCyte has received a publication date for a full article describing those results, and the balance shall vest upon obtaining a Medicare local coverage determination for OncoCyte's DetermaVu product candidate. Read SEC document |
| May 23, 2018 Filed Jun 4, 2018 20:51 UTC |
HESTERBERG LYNDAL K.Sr VP, Research & Development
|
GrantOption to Purchase Common Stock · Derivative | 150,000 | $0.00 Strike: $2.35 | $0.00 |
DisclosureSEC source: 0001209191-18-035400 · doc4.xml · derivative · entry 1 HESTERBERG LYNDAL K. · CIK 0001689836 · Sr VP, Research & Development 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 150,000 Underlying: Common Stock · 150,000 shares Expires 2028-05-22 F1 · derivative.exercise_date: These options vest as to one-third of the shares on each of the completion of the clinical utility study for OncoCyte's DetermaVu product candidate, the filing of the Medicare dossier for the Medicare local coverage determination, and obtaining a Medicare local coverage determination for OncoCyte's DetermaVu product candidate. Read SEC document |
| May 23, 2018 Filed Jun 5, 2018 00:55 UTC |
MECHEM KRISTINE C.VP of Marketing
|
GrantOption to Purchase Common Stock · Derivative | 125,000 | $0.00 Strike: $2.35 | $0.00 |
DisclosureSEC source: 0001209191-18-035407 · doc4.xml · derivative · entry 1 MECHEM KRISTINE C. · CIK 0001662454 · VP of Marketing 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 125,000 Underlying: Common Stock · 125,000 shares Expires 2028-05-22 F1 · derivative.exercise_date: These options vest as to one-third of the shares on each of the completion of the clinical utility study for OncoCyte's DetermaVu product candidate, the filing of the Medicare dossier for the Medicare local coverage determination, and obtaining a Medicare local coverage determination for OncoCyte's DetermaVu product candidate. Read SEC document |
| March 28, 2018 Filed Mar 30, 2018 20:28 UTC |
BROADWOOD PARTNERS, L.P.10% owner
BROADWOOD CAPITAL INC10% owner
Bradsher Neal C10% owner
|
PurchaseCommon Stock, no par value | 0 | $1.26 | $0.00 |
DisclosureSEC source: 0000919574-18-002770 · p7856000.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: Not disclosed Ownership: Indirect · Footnote Disclosed balance after: 7,564,934 F1 · price: On March 28, 2018, the Issuer and Broadwood Partners, L.P. ("BPLP") entered into a Securities Purchase Agreement pursuant to which BPLP purchased 3,968,254 shares of the Issuer's Common Stock, no par value, at a purchase price of $1.26 per share. F3 · ownership.nature: The reported securities are directly owned by Broadwood Partners, L.P. and may be deemed beneficially owned by Broadwood Capital, Inc. as General Partner of Broadwood Partners, L.P. and Neal C. Bradsher as President of Broadwood Capital, Inc. The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of his or its 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. Read SEC document |
| March 28, 2018 Filed Mar 30, 2018 20:28 UTC |
BROADWOOD PARTNERS, L.P.10% owner
BROADWOOD CAPITAL INC10% owner
Bradsher Neal C10% owner
|
PurchaseCommon Stock, no par value | 3,968,254 | $1.26 | $5,000,000.04 |
DisclosureSEC source: 0000919574-18-002770 · p7856000.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: Not disclosed Ownership: Direct Disclosed balance after: 7,564,934 F1 · price: On March 28, 2018, the Issuer and Broadwood Partners, L.P. ("BPLP") entered into a Securities Purchase Agreement pursuant to which BPLP purchased 3,968,254 shares of the Issuer's Common Stock, no par value, at a purchase price of $1.26 per share. F2 · ownership.direct: These securities are owned by Broadwood Partners, L.P., which is a Reporting Person. Read SEC document |
| November 15, 2017 Filed Nov 17, 2017 20:01 UTC |
Levine Mitchell SChief Financial Officer
|
GrantOption to Purchase Common Stock · Derivative | 200,000 | $0.00 Strike: $5.90 | $0.00 |
DisclosureSEC source: 0001209191-17-061662 · doc4.xml · derivative · entry 1 Levine Mitchell S · CIK 0001383492 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 200,000 Underlying: Common Stock · 200,000 shares Expires 2027-11-14 F1 · derivative.exercise_date: One quarter of the options shall vest on November 14, 2018, subject to the completion of 12 months of continuous employment from the date of grant, and the balance shall vest in 36 monthly installments upon the completion of each month of continuous employment from the first anniversary of the date of grant. Read SEC document |
| July 21, 2017 Filed Jul 25, 2017 21:14 UTC |
BROADWOOD PARTNERS, L.P.10% owner
BROADWOOD CAPITAL INC10% owner
Bradsher Neal C10% owner
|
OtherWarrant to Purchase Common Stock · Derivative | 0 | Not disclosed Strike: $3.25 | Not disclosed |
DisclosureSEC source: 0000919574-17-005589 · p7576208.xml · derivative · entry 7 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: Not disclosed Ownership: Indirect · Footnote Disclosed balance after: 270,000 Underlying: Common Stock · 0 shares Expires 2022-07-21 F5 · kind: In consideration for the early exercise by Broadwood Partners, L.P. of 540,000 warrants on July 21, 2017, Broadwood Partners, L.P. received from the Issuer one new warrant with an exercise price of $3.25 for every two warrants that it exercised. F5 · price: In consideration for the early exercise by Broadwood Partners, L.P. of 540,000 warrants on July 21, 2017, Broadwood Partners, L.P. received from the Issuer one new warrant with an exercise price of $3.25 for every two warrants that it exercised. F3 · derivative.exercise_date: These warrants are currently exercisable. F2 · ownership.nature: The reported securities are directly owned by Broadwood Partners, L.P. and may be deemed beneficially owned by Broadwood Capital, Inc. as General Partner of Broadwood Partners, L.P. and Neal C. Bradsher as President of Broadwood Capital, Inc. The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of his or its 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. Read SEC document |
| July 21, 2017 Filed Jul 25, 2017 21:14 UTC |
BROADWOOD PARTNERS, L.P.10% owner
BROADWOOD CAPITAL INC10% owner
Bradsher Neal C10% owner
|
OtherWarrant to Purchase Common Stock · Derivative | 270,000 | Not disclosed Strike: $3.25 | Not disclosed |
DisclosureSEC source: 0000919574-17-005589 · p7576208.xml · derivative · entry 6 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: Not disclosed Ownership: Direct Disclosed balance after: 270,000 Underlying: Common Stock · 270,000 shares Expires 2022-07-21 F5 · kind: In consideration for the early exercise by Broadwood Partners, L.P. of 540,000 warrants on July 21, 2017, Broadwood Partners, L.P. received from the Issuer one new warrant with an exercise price of $3.25 for every two warrants that it exercised. F5 · price: In consideration for the early exercise by Broadwood Partners, L.P. of 540,000 warrants on July 21, 2017, Broadwood Partners, L.P. received from the Issuer one new warrant with an exercise price of $3.25 for every two warrants that it exercised. F3 · derivative.exercise_date: These warrants are currently exercisable. F1 · ownership.direct: These securities are owned by Broadwood Partners, L.P., which is a Reporting Person. Read SEC document |
| July 21, 2017 Filed Jul 25, 2017 21:14 UTC |
BROADWOOD PARTNERS, L.P.10% owner
BROADWOOD CAPITAL INC10% owner
Bradsher Neal C10% owner
|
OtherWarrant to Purchase Common Stock · Derivative | 0 | Not disclosed Strike: $3.25 | Not disclosed |
DisclosureSEC source: 0000919574-17-005589 · p7576208.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: Not disclosed Ownership: Indirect · Footnote Disclosed balance after: 573,461 Underlying: Common Stock · 0 shares Expires 2021-10-17 F4 · price: These warrants were purchased as part of a unit, with each unit consisting of one share and one warrant (each warrant entitles the holder to purchase one share), at a price of $3.25 per unit. F3 · derivative.exercise_date: These warrants are currently exercisable. F2 · ownership.nature: The reported securities are directly owned by Broadwood Partners, L.P. and may be deemed beneficially owned by Broadwood Capital, Inc. as General Partner of Broadwood Partners, L.P. and Neal C. Bradsher as President of Broadwood Capital, Inc. The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of his or its 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. Read SEC document |
| July 21, 2017 Filed Jul 25, 2017 21:14 UTC |
BROADWOOD PARTNERS, L.P.10% owner
BROADWOOD CAPITAL INC10% owner
Bradsher Neal C10% owner
|
OtherWarrant to Purchase Common Stock · Derivative | 540,000 | Not disclosed Strike: $3.25 | Not disclosed |
DisclosureSEC source: 0000919574-17-005589 · p7576208.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: Not disclosed Ownership: Direct Disclosed balance after: 573,461 Underlying: Common Stock · 540,000 shares Expires 2021-10-17 F4 · price: These warrants were purchased as part of a unit, with each unit consisting of one share and one warrant (each warrant entitles the holder to purchase one share), at a price of $3.25 per unit. F3 · derivative.exercise_date: These warrants are currently exercisable. F1 · ownership.direct: These securities are owned by Broadwood Partners, L.P., which is a Reporting Person. Read SEC document |
| July 21, 2017 Filed Jul 25, 2017 21:14 UTC |
BROADWOOD PARTNERS, L.P.10% owner
BROADWOOD CAPITAL INC10% owner
Bradsher Neal C10% owner
|
OtherCommon Stock, no par value | 0 | $3.25 | $0.00 |
DisclosureSEC source: 0000919574-17-005589 · p7576208.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: Not disclosed Ownership: Indirect · Footnote Disclosed balance after: 3,596,680 F2 · ownership.nature: The reported securities are directly owned by Broadwood Partners, L.P. and may be deemed beneficially owned by Broadwood Capital, Inc. as General Partner of Broadwood Partners, L.P. and Neal C. Bradsher as President of Broadwood Capital, Inc. The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of his or its 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. Read SEC document |
| July 21, 2017 Filed Jul 25, 2017 21:14 UTC |
BROADWOOD PARTNERS, L.P.10% owner
BROADWOOD CAPITAL INC10% owner
Bradsher Neal C10% owner
|
OtherCommon Stock, no par value | 540,000 | $3.25 | $1,755,000.00 |
DisclosureSEC source: 0000919574-17-005589 · p7576208.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: Not disclosed Ownership: Direct Disclosed balance after: 3,596,680 F1 · ownership.direct: These securities are owned by Broadwood Partners, L.P., which is a Reporting Person. Read SEC document |
| June 15, 2017 Filed Jun 20, 2017 01:09 UTC |
Arno AndrewDirector
|
GrantOption to Purchase Common Stock · Derivative | 20,000 | $0.00 Strike: $5.10 | $0.00 |
DisclosureSEC source: 0001209191-17-040971 · doc4.xml · derivative · entry 2 Arno Andrew · CIK 0001472122 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 20,000 shares Expires 2027-06-14 F2 · derivative.exercise_date: Will become exercisable in four equal installments on September 30, 2017, December 31, 2017, March 31, 2018, and one day before the Company's next annual meeting of shareholders, based upon continued service on the board of directors from the date of grant on June 15, 2017. Read SEC document |
| June 15, 2017 Filed Jun 20, 2017 01:09 UTC |
Arno AndrewDirector
|
GrantOption to Purchase Common Stock · Derivative | 6,520 | $0.00 Strike: $5.10 | $0.00 |
DisclosureSEC source: 0001209191-17-040971 · doc4.xml · derivative · entry 1 Arno Andrew · CIK 0001472122 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,520 Underlying: Common Stock · 6,520 shares Expires 2027-06-14 F1 · shares: Options are granted to directors annually. These options are a "transitional grant" reflecting the change in the date of the annual grant from February to the date of the annual meeting of shareholders. The options are 32.60% of the annual grant for the 119-day gap between February 16, 2017, one year from the last annual grant, and June 15, 2017, date of the full annual grant for 2017-2018. F2 · derivative.exercise_date: Will become exercisable in four equal installments on September 30, 2017, December 31, 2017, March 31, 2018, and one day before the Company's next annual meeting of shareholders, based upon continued service on the board of directors from the date of grant on June 15, 2017. Read SEC document |
| June 15, 2017 Filed Jun 19, 2017 21:26 UTC |
Redmond Cavan M.Director
|
GrantOption to Purchase Common Stock · Derivative | 20,000 | $0.00 Strike: $5.10 | $0.00 |
DisclosureSEC source: 0001209191-17-040982 · doc4.xml · derivative · entry 2 Redmond Cavan M. · CIK 0001420120 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 20,000 shares Expires 2027-06-14 F2 · derivative.exercise_date: Will become exercisable in four equal installments on September 30, 2017, December 31, 2017, March 31, 2018, and one day before the Company's next annual meeting of shareholders, based upon continued service on the board of directors from the date of grant on June 15, 2017. Read SEC document |
| June 15, 2017 Filed Jun 19, 2017 21:26 UTC |
Redmond Cavan M.Director
|
GrantOption to Purchase Common Stock · Derivative | 6,520 | $0.00 Strike: $5.10 | $0.00 |
DisclosureSEC source: 0001209191-17-040982 · doc4.xml · derivative · entry 1 Redmond Cavan M. · CIK 0001420120 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,520 Underlying: Common Stock · 6,520 shares Expires 2027-06-14 F1 · shares: Options are granted to directors annually. These options are a "transitional grant" reflecting the change in the date of the annual grant from February to the date of the annual meeting of shareholders. The options are 32.60% of the annual grant for the 119-day gap between February 16, 2017, one year from the last annual grant, and June 15, 2017, date of the full annual grant for 2017-2018. F2 · derivative.exercise_date: Will become exercisable in four equal installments on September 30, 2017, December 31, 2017, March 31, 2018, and one day before the Company's next annual meeting of shareholders, based upon continued service on the board of directors from the date of grant on June 15, 2017. Read SEC document |
| June 15, 2017 Filed Jun 19, 2017 21:23 UTC |
KINGSLEY ALFRED DDirector
|
GrantOption to Purchase Common Stock · Derivative | 50,000 | $0.00 Strike: $5.10 | $0.00 |
DisclosureSEC source: 0001209191-17-040980 · doc4.xml · derivative · entry 5 KINGSLEY ALFRED D · CIK 0001229339 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,000 Underlying: Common Stock · 50,000 shares Expires 2027-06-14 F2 · derivative.exercise_date: Will become exercisable in four equal installments on September 30, 2017, December 31, 2017, March 31, 2018, and one day before the Company's next annual meeting of shareholders, based upon continued service on the board of directors from the date of grant on June 15, 2017. Read SEC document |
| June 15, 2017 Filed Jun 19, 2017 21:23 UTC |
KINGSLEY ALFRED DDirector
|
GrantOption to Purchase Common Stock · Derivative | 16,300 | $0.00 Strike: $5.10 | $0.00 |
DisclosureSEC source: 0001209191-17-040980 · doc4.xml · derivative · entry 4 KINGSLEY ALFRED D · CIK 0001229339 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,300 Underlying: Common Stock · 16,300 shares Expires 2027-06-14 F1 · shares: Options are granted to directors annually. These options are a "transitional grant" reflecting the change in the date of the annual grant from February to the date of the annual meeting of shareholders. The options are 32.60% of the annual grant for the 119-day gap between February 16, 2017, one year from the last annual grant, and June 15, 2017, date of the full annual grant for 2017-2018. F2 · derivative.exercise_date: Will become exercisable in four equal installments on September 30, 2017, December 31, 2017, March 31, 2018, and one day before the Company's next annual meeting of shareholders, based upon continued service on the board of directors from the date of grant on June 15, 2017. Read SEC document |
| June 15, 2017 Filed Jun 19, 2017 21:17 UTC |
BAILEY DON MDirector
|
GrantOption to Purchase Common Stock · Derivative | 20,000 | $0.00 Strike: $5.10 | $0.00 |
DisclosureSEC source: 0001209191-17-040978 · doc4.xml · derivative · entry 3 BAILEY DON M · CIK 0001223697 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 20,000 shares Expires 2027-06-14 F3 · derivative.exercise_date: Will become exercisable in four equal installments on September 30, 2017, December 31, 2017, March 31, 2018, and one day before the Company's next annual meeting of shareholders, based upon continued service on the board of directors from the date of grant on June 15, 2017. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.