IMDX

SEC source: 0001209191-17-040978 · doc4.xml · derivative · entry 2

BAILEY DON M · CIK 0001223697 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,520

Underlying: Common Stock · 6,520 shares

Expires 2027-06-14

F2 · 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.

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.

SEC source: 0001209191-17-041129 · doc4.xml · derivative · entry 2

Last Andrew J. · CIK 0001485088 · 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.

SEC source: 0001209191-17-041129 · doc4.xml · derivative · entry 1

Last Andrew J. · CIK 0001485088 · 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.

SEC source: 0001209191-17-013565 · doc4.xml · derivative · entry 1

HESTERBERG LYNDAL K. · CIK 0001689836 · Sr VP, Research & Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,400

Underlying: Common Stock · 14,400 shares

Expires 2027-02-16

F1 · derivative.exercise_date: One quarter of the options shall vest on February 16, 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.

SEC source: 0000919574-17-002207 · p7419398.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: Indirect · Footnote

Disclosed balance after: 212,500

Underlying: Common Stock · 0 shares

Expires 2022-02-17

F5 · kind: In consideration for the early exercise by Broadwood Partners, L.P. of 425,000 warrants on February 17, 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 425,000 warrants on February 17, 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.

SEC source: 0000919574-17-002207 · p7419398.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: Direct

Disclosed balance after: 212,500

Underlying: Common Stock · 212,500 shares

Expires 2022-02-17

F5 · kind: In consideration for the early exercise by Broadwood Partners, L.P. of 425,000 warrants on February 17, 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 425,000 warrants on February 17, 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.

SEC source: 0000919574-17-002207 · p7419398.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: Indirect · Footnote

Disclosed balance after: 1,113,461

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.

SEC source: 0000919574-17-002207 · p7419398.xml · derivative · entry 3

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: 1,113,461

Underlying: Common Stock · 425,000 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.

SEC source: 0000919574-17-002207 · p7419398.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: 3,056,680

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.

SEC source: 0000919574-17-002207 · p7419398.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: 3,056,680

F1 · ownership.direct: These securities are owned by Broadwood Partners, L.P., which is a Reporting Person.

SEC source: 0001209191-17-013575 · doc4.xml · derivative · entry 1

MECHEM KRISTINE C. · CIK 0001662454 · VP of Marketing

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,500

Underlying: Common Stock · 67,500 shares

Expires 2027-02-16

F1 · derivative.exercise_date: One quarter of the options shall vest on February 16, 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.

SEC source: 0001209191-17-013557 · doc4.xml · derivative · entry 1

ANNETT WILLIAM · CIK 0001662553 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 250,000

Underlying: Common Stock · 225,000 shares

Expires 2027-02-16

F1 · derivative.exercise_date: One quarter of the options shall vest on February 16, 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.

SEC source: 0001209191-16-146423 · doc4.xml · derivative · entry 2

BAILEY DON M · CIK 0001223697 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 230,769

Underlying: Common Stock · 230,769 shares

Expires not disclosed

F2 · derivative.exercise_date: These warrants became exercisable on October 17, 2016, the date shareholders approved the issuance of OncoCyte common stock upon exercise of the warrants, and may be exercised for five years from the date they became exercisable.

F2 · derivative.expiration_date: These warrants became exercisable on October 17, 2016, the date shareholders approved the issuance of OncoCyte common stock upon exercise of the warrants, and may be exercised for five years from the date they became exercisable.

F1 · ownership.direct: The shares are held by Mr. Bailey and his wife as co-trustees of a revocable trust, and in such capacity Mr. Bailey and his wife have shared voting and dispositive power over the shares.