person · Reporting owner

Bradsher Neal C

Disclosed activity across 5 companies

Tapewire entity: 33406
SEC CIK: 0001278388

Reported relationships

Latest disclosed role at each company.

Company	Last reported as	Report date	Published
COMARCO INCCMRO · Entity 173122	10% owner	September 15, 2017	September 18, 2017
Insight Molecular Diagnostics Inc.IMDX · Entity 6631	10% owner	April 23, 2026	April 27, 2026
Lineage Cell Therapeutics, Inc.LCTX · Entity 6045	Director · 10% owner	July 01, 2026	July 02, 2026
STAAR SURGICAL COSTAA · Entity 4851	Director · 10% owner	June 18, 2026	June 22, 2026

Disclosed balances

About these balances

Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.

COMARCO INC

Report date September 15, 2017 · Filed September 18, 2017

Jointly reported with BROADWOOD PARTNERS, L.P., BROADWOOD CAPITAL INC

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	0	Reported balance After 2017-09-15 transaction · row 1 Holding and transaction disclosures are not merged. 1 source row Row 1 · 2017-09-15 · Sale · Disposed 1,548,636 · Balance 0 F1: These securities were owned by Broadwood Partners, L.P., which is a Reporting Person. These securities were sold in a private transaction.
Common StockSEC Table I · non-derivative	Direct	15,500	Reported balance Holding disclosure · report date 2017-09-15 · row 3 Holding and transaction disclosures are not merged. 1 source row Row 3 · Balance 15,500 F3: These securities are owned by Neal C. Bradsher, who is a Reporting Person.
Common StockSEC Table I · non-derivative	IndirectSee Footnote	0	Reported balance After 2017-09-15 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 2 · 2017-09-15 · Sale · Disposed 0 · Balance 0 F2: The reported securities were directly owned by Broadwood Partners, L.P. and may have been deemed to have been 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.

Filing footnotes · ownership attribution and instrument terms

F1: These securities were owned by Broadwood Partners, L.P., which is a Reporting Person. These securities were sold in a private transaction.

F2: The reported securities were directly owned by Broadwood Partners, L.P. and may have been deemed to have been 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.

F3: These securities are owned by Neal C. Bradsher, who is a Reporting Person.

Insight Molecular Diagnostics Inc.

Report date April 23, 2026 · Filed April 27, 2026

Jointly reported with BROADWOOD PARTNERS, L.P., BROADWOOD CAPITAL INC

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common Stock, no par valueSEC Table I · non-derivative	Direct	12,395,081	Reported balance After 2026-04-23 transaction · row 1 Holding and transaction disclosures are not merged. 1 source row Row 1 · 2026-04-23 · Purchase · Acquired 280,381 · Balance 12,395,081 F3: This constitutes the weighted average purchase price. The prices range from $3.39 to $3.54. The Reporting Person will provide upon request by the Securities and Exchange Commission staff (the "SEC Staff"), the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each separate price. F1: 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.
Common Stock, no par valueSEC Table I · non-derivative	Direct	12,433,961	Reported balance After 2026-04-24 transaction · row 3 Holding and transaction disclosures are not merged. 1 source row Row 3 · 2026-04-24 · Purchase · Acquired 38,880 · Balance 12,433,961 F4: This constitutes the weighted average purchase price. The prices range from $3.47 to $3.59. The Reporting Person will provide upon request by the SEC Staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each separate price. F1: 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.
Common Stock, no par valueSEC Table I · non-derivative	Direct	12,684,884	Reported balance After 2026-04-27 transaction · row 5 Holding and transaction disclosures are not merged. 1 source row Row 5 · 2026-04-27 · Purchase · Acquired 250,923 · Balance 12,684,884 F5: This constitutes the weighted average purchase price. The prices range from $3.50 to $3.84. The Reporting Person will provide upon request by the SEC Staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each separate price. F1: 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.
Common Stock, no par valueSEC Table I · non-derivative	Direct	157	Reported balance Holding disclosure · report date 2026-04-23 · row 7 Holding and transaction disclosures are not merged. 1 source row Row 7 · Balance 157 F2: These securities are directly owned by Neal C. Bradsher.
Common Stock, no par valueSEC Table I · non-derivative	IndirectFootnote	12,395,081	Reported balance After 2026-04-23 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 2 · 2026-04-23 · Purchase · Acquired 0 · Balance 12,395,081 F1: 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.
Common Stock, no par valueSEC Table I · non-derivative	IndirectFootnote	12,433,961	Reported balance After 2026-04-24 transaction · row 4 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 4 · 2026-04-24 · Purchase · Acquired 0 · Balance 12,433,961 F1: 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.
Common Stock, no par valueSEC Table I · non-derivative	IndirectFootnote	12,684,884	Reported balance After 2026-04-27 transaction · row 6 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 6 · 2026-04-27 · Purchase · Acquired 0 · Balance 12,684,884 F1: 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.
Warrant to Purchase Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $30.60 · Expires 2027-04-19	Direct	150,093	Reported balance Holding disclosure · report date 2026-04-23 · row 8 Instrument identity requires review; Table II rows are not merged. 1 source row Row 8 · Balance 150,093 F6: These warrants are currently exercisable. F1: 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.
Warrant to Purchase Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $30.60 · Expires 2027-04-19	IndirectFootnote	150,093	Reported balance Holding disclosure · report date 2026-04-23 · row 9 Instrument identity requires review; Table II rows are not merged. 1 source row Row 9 · Balance 150,093 F6: These warrants are currently exercisable. F1: 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.

Filing footnotes · ownership attribution and instrument terms

F1: 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.

F2: These securities are directly owned by Neal C. Bradsher.

F3: This constitutes the weighted average purchase price. The prices range from $3.39 to $3.54. The Reporting Person will provide upon request by the Securities and Exchange Commission staff (the "SEC Staff"), the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each separate price.

F4: This constitutes the weighted average purchase price. The prices range from $3.47 to $3.59. The Reporting Person will provide upon request by the SEC Staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each separate price.

F5: This constitutes the weighted average purchase price. The prices range from $3.50 to $3.84. The Reporting Person will provide upon request by the SEC Staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each separate price.

F6: These warrants are currently exercisable.

Lineage Cell Therapeutics, Inc.

Report date July 01, 2026 · Filed July 02, 2026

Security / award	Ownership account	Disclosed shares / units	Disclosure context
OPTION TO PURCHASE COMMON SHARESSEC Table II · derivative / convertible security · Conversion / exercise price $1.30 · Expires 2036-07-01	Direct	125,000	Reported balance After 2026-07-01 transaction · row 1 Instrument identity requires review; Table II rows are not merged. 1 source row Row 1 · 2026-07-01 · Grant · Acquired 125,000 · Balance 125,000 F2: These options were granted to the Reporting Person by the Issuer on July 1, 2026 as director compensation pursuant to the Issuer's 2021 Equity Incentive Plan, as amended. F1: These options will vest and become exercisable on the earlier of: (a) July 1, 2027 and (b) the date of Lineage Cell Therapeutics, Inc.'s (the "Issuer") next annual meeting of shareholders after the grant date, subject, in each case, to Neal C. Bradsher's (the "Reporting Person") continuous service with the Issuer.
OPTION TO PURCHASE COMMON SHARESSEC Table II · derivative / convertible security · Conversion / exercise price $0.90 · Expires 2035-07-01	Direct	75,000	Reported balance Holding disclosure · report date 2026-07-01 · row 2 Instrument identity requires review; Table II rows are not merged. 1 source row Row 2 · Balance 75,000 F3: These options are currently exercisable.
OPTION TO PURCHASE COMMON SHARESSEC Table II · derivative / convertible security · Conversion / exercise price $0.95 · Expires 2034-07-01	Direct	75,000	Reported balance Holding disclosure · report date 2026-07-01 · row 3 Instrument identity requires review; Table II rows are not merged. 1 source row Row 3 · Balance 75,000 F3: These options are currently exercisable.
OPTION TO PURCHASE COMMON SHARESSEC Table II · derivative / convertible security · Conversion / exercise price $1.41 · Expires 2033-07-01	Direct	50,000	Reported balance Holding disclosure · report date 2026-07-01 · row 4 Instrument identity requires review; Table II rows are not merged. 1 source row Row 4 · Balance 50,000 F3: These options are currently exercisable.
OPTION TO PURCHASE COMMON SHARESSEC Table II · derivative / convertible security · Conversion / exercise price $1.57 · Expires 2032-07-01	Direct	50,000	Reported balance Holding disclosure · report date 2026-07-01 · row 5 Instrument identity requires review; Table II rows are not merged. 1 source row Row 5 · Balance 50,000 F3: These options are currently exercisable.
OPTION TO PURCHASE COMMON SHARESSEC Table II · derivative / convertible security · Conversion / exercise price $2.86 · Expires 2031-07-01	Direct	50,000	Reported balance Holding disclosure · report date 2026-07-01 · row 6 Instrument identity requires review; Table II rows are not merged. 1 source row Row 6 · Balance 50,000 F3: These options are currently exercisable.
OPTION TO PURCHASE COMMON SHARESSEC Table II · derivative / convertible security · Conversion / exercise price $0.83 · Expires 2030-07-01	Direct	40,000	Reported balance Holding disclosure · report date 2026-07-01 · row 7 Instrument identity requires review; Table II rows are not merged. 1 source row Row 7 · Balance 40,000 F3: These options are currently exercisable.
OPTION TO PURCHASE COMMON SHARESSEC Table II · derivative / convertible security · Conversion / exercise price $1.03 · Expires 2029-06-30	Direct	40,000	Reported balance Holding disclosure · report date 2026-07-01 · row 8 Instrument identity requires review; Table II rows are not merged. 1 source row Row 8 · Balance 40,000 F3: These options are currently exercisable.

Filing footnotes · ownership attribution and instrument terms

F1: These options will vest and become exercisable on the earlier of: (a) July 1, 2027 and (b) the date of Lineage Cell Therapeutics, Inc.'s (the "Issuer") next annual meeting of shareholders after the grant date, subject, in each case, to Neal C. Bradsher's (the "Reporting Person") continuous service with the Issuer.

F2: These options were granted to the Reporting Person by the Issuer on July 1, 2026 as director compensation pursuant to the Issuer's 2021 Equity Incentive Plan, as amended.

F3: These options are currently exercisable.

STAAR SURGICAL CO

Report date June 18, 2026 · Filed June 22, 2026

Security / award	Ownership account	Disclosed shares / units	Disclosure context
OPTION TO PURCHASE COMMON STOCKSEC Table II · derivative / convertible security · Conversion / exercise price $29.12 · Expires 2036-06-18	Direct	11,145	Reported balance After 2026-06-18 transaction · row 1 Instrument identity requires review; Table II rows are not merged. 1 source row Row 1 · 2026-06-18 · Grant · Acquired 11,145 · Balance 11,145 F2: These options were granted to the Reporting Person by the Issuer on June 18, 2026 as director compensation pursuant to the Issuer's Amended and Restated Omnibus Equity Incentive Plan, as amended. F1: These options will vest and become exercisable on the earlier of: (a) June 18, 2027 and (b) the date of STAAR Surgical Company's (the "Issuer") next annual meeting of shareholders after the grant date, subject, in each case, to Neal C. Bradsher's (the "Reporting Person") continuous service with the Issuer.
OPTION TO PURCHASE COMMON STOCKSEC Table II · derivative / convertible security · Conversion / exercise price $18.46 · Expires 2036-03-05	Direct	7,524	Reported balance Holding disclosure · report date 2026-06-18 · row 2 Instrument identity requires review; Table II rows are not merged. 1 source row Row 2 · Balance 7,524 F3: These options are currently exercisable.

Filing footnotes · ownership attribution and instrument terms

F1: These options will vest and become exercisable on the earlier of: (a) June 18, 2027 and (b) the date of STAAR Surgical Company's (the "Issuer") next annual meeting of shareholders after the grant date, subject, in each case, to Neal C. Bradsher's (the "Reporting Person") continuous service with the Issuer.

F2: These options were granted to the Reporting Person by the Issuer on June 18, 2026 as director compensation pursuant to the Issuer's Amended and Restated Omnibus Equity Incentive Plan, as amended.

F3: These options are currently exercisable.

Past disclosures · reporting ended (1)

No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.

Asterias Biotherapeutics, Inc.

Report date March 08, 2019 · Filed March 12, 2019

Jointly reported with BROADWOOD PARTNERS, L.P., BROADWOOD CAPITAL INC

Section 16 reporting ended · disclosed 2019-03-12. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Series A Common StockSEC Table I · non-derivative	Direct	0	Reported balance After 2019-03-08 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2019-03-08 · Other · Disposed 5,292,156 · Balance 0 F1: These securities were disposed of pursuant to a merger between the Issuer and BioTime, Inc. ("BioTime") that became effective on March 8, 2019 (the "Merger"). Pursuant to the Merger, each share of the Issuer's Series A Common Stock was converted into the right to receive 0.71 common shares, no par value, of BioTime. Accordingly, Broadwood Partners, L.P. acquired 3,757,430 common shares of BioTime in the Merger, with each such share having a market value of $1.31 on the effective date of the Merger. F2: These securities are owned by Broadwood Partners, L.P.
Series A Common StockSEC Table I · non-derivative	IndirectSee Footnote	0	Reported balance After 2019-03-08 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 2 · 2019-03-08 · Other · Disposed 0 · Balance 0 F1: These securities were disposed of pursuant to a merger between the Issuer and BioTime, Inc. ("BioTime") that became effective on March 8, 2019 (the "Merger"). Pursuant to the Merger, each share of the Issuer's Series A Common Stock was converted into the right to receive 0.71 common shares, no par value, of BioTime. Accordingly, Broadwood Partners, L.P. acquired 3,757,430 common shares of BioTime in the Merger, with each such share having a market value of $1.31 on the effective date of the Merger. F3: 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.

Filing footnotes · ownership attribution and instrument terms

F1: These securities were disposed of pursuant to a merger between the Issuer and BioTime, Inc. ("BioTime") that became effective on March 8, 2019 (the "Merger"). Pursuant to the Merger, each share of the Issuer's Series A Common Stock was converted into the right to receive 0.71 common shares, no par value, of BioTime. Accordingly, Broadwood Partners, L.P. acquired 3,757,430 common shares of BioTime in the Merger, with each such share having a market value of $1.31 on the effective date of the Merger.

F2: These securities are owned by Broadwood Partners, L.P.

F3: 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.

Transaction history

JSON API

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	Company	Activity / security	Shares / units	Reported price	Reported value	Details
December 27, 2022 Filed Dec 29, 2022 23:26 UTC	STAAR SURGICAL CO STAA · Entity 4851	PurchaseCommon Stock	0	$0.00	$0.00	Disclosure SEC source: 0000919574-22-007188 · 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 · Footnote Disclosed balance after: 8,643,992 F1 · ownership.nature: The reported securities are directly owned by Broadwood Partners, L.P. ("Broadwood Partners") and may be deemed beneficially owned by Broadwood Capital, Inc. as General Partner of Broadwood Partners and Neal C. Bradsher as President of Broadwood Capital, Inc. Each Reporting Person disclaims 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
December 27, 2022 Filed Dec 29, 2022 23:26 UTC	STAAR SURGICAL CO STAA · Entity 4851	PurchaseCommon Stock	51,985	$47.91	$2,490,533.77	Disclosure SEC source: 0000919574-22-007188 · 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: 8,643,992 F2 · price: This constitutes the weighted average purchase price. The prices range from $47.32 to $48.19. The Reporting Person will provide upon request by the Securities and Exchange Commission staff (the "SEC Staff"), the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each separate price. F1 · ownership.direct: The reported securities are directly owned by Broadwood Partners, L.P. ("Broadwood Partners") and may be deemed beneficially owned by Broadwood Capital, Inc. as General Partner of Broadwood Partners and Neal C. Bradsher as President of Broadwood Capital, Inc. Each Reporting Person disclaims 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 01, 2022 Filed Jul 6, 2022 20:15 UTC	Lineage Cell Therapeutics, Inc. LCTX · Entity 6045	GrantOPTION TO PURCHASE COMMON SHARES · Derivative	50,000	$0.00 Strike: $1.57	$0.00	Disclosure SEC source: 0000919574-22-004056 · ownership.xml · derivative · entry 1 BRADSHER NEAL C · CIK 0001278388 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,000 Underlying: COMMON SHARES · 50,000 shares Expires 2032-07-01 F2 · price: These options were granted to the Reporting Person by the Issuer on July 1, 2022 as director compensation pursuant to the Issuer's 2021 Equity Incentive Plan, as amended. F1 · derivative.exercise_date: These options will vest and become exercisable on July 1, 2023, provided, that Neal C. Bradsher (the "Reporting Person") remains a member of the board of directors of Lineage Cell Therapeutics, Inc. (the "Issuer") on that date. Read SEC document
April 14, 2022 Filed Apr 15, 2022 22:13 UTC	Insight Molecular Diagnostics Inc. OCX · Entity 6631	GrantWarrant to Purchase Common Stock · Derivative	0	Not disclosed Strike: $1.53	Not disclosed	Disclosure SEC source: 0000919574-22-002783 · ownership.xml · derivative · entry 7 BROADWOOD PARTNERS, L.P. · CIK 0001278386 · 10% owner BRADSHER NEAL C · CIK 0001278388 · 10% owner BROADWOOD CAPITAL INC · CIK 0001278387 · 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: 6,003,752 Underlying: Common Stock · 3,001,876 shares Expires 2027-04-19 F5 · kind: On April 14, 2022, Broadwood Partners participated in the Issuer's underwritten public offering pursuant to which it acquired: (i) 6,003,752 shares of the Common Stock; and (ii) 6,003,752 warrants (the "Warrants") to purchase up to 3,001,876 shares of the Common Stock at an exercise price of $1.53 per share. The Warrants (i) are currently exercisable, subject to a blocker provision that prevents Broadwood Partners from exercising the Warrants if it would be more than a 19.99% beneficial owner of the Common Stock following such exercise, and (ii) expire on April 19, 2027. F6 · kind: (Continued from Footnote 5) The Issuer has agreed to use its reasonable best efforts to obtain shareholder approval for the 19.99% blocker provision to be waived with respect to the Reporting Persons, so that the Reporting Persons may increase their beneficial ownership of the Common Stock above 19.99%. The aggregate purchase price paid for the Common Stock and the Warrants was $7,999,999.54. F5 · price: On April 14, 2022, Broadwood Partners participated in the Issuer's underwritten public offering pursuant to which it acquired: (i) 6,003,752 shares of the Common Stock; and (ii) 6,003,752 warrants (the "Warrants") to purchase up to 3,001,876 shares of the Common Stock at an exercise price of $1.53 per share. The Warrants (i) are currently exercisable, subject to a blocker provision that prevents Broadwood Partners from exercising the Warrants if it would be more than a 19.99% beneficial owner of the Common Stock following such exercise, and (ii) expire on April 19, 2027. F6 · price: (Continued from Footnote 5) The Issuer has agreed to use its reasonable best efforts to obtain shareholder approval for the 19.99% blocker provision to be waived with respect to the Reporting Persons, so that the Reporting Persons may increase their beneficial ownership of the Common Stock above 19.99%. The aggregate purchase price paid for the Common Stock and the Warrants was $7,999,999.54. F5 · derivative.exercise_date: On April 14, 2022, Broadwood Partners participated in the Issuer's underwritten public offering pursuant to which it acquired: (i) 6,003,752 shares of the Common Stock; and (ii) 6,003,752 warrants (the "Warrants") to purchase up to 3,001,876 shares of the Common Stock at an exercise price of $1.53 per share. The Warrants (i) are currently exercisable, subject to a blocker provision that prevents Broadwood Partners from exercising the Warrants if it would be more than a 19.99% beneficial owner of the Common Stock following such exercise, and (ii) expire on April 19, 2027. F6 · derivative.exercise_date: (Continued from Footnote 5) The Issuer has agreed to use its reasonable best efforts to obtain shareholder approval for the 19.99% blocker provision to be waived with respect to the Reporting Persons, so that the Reporting Persons may increase their beneficial ownership of the Common Stock above 19.99%. The aggregate purchase price paid for the Common Stock and the Warrants was $7,999,999.54. 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. Read SEC document
April 14, 2022 Filed Apr 15, 2022 22:13 UTC	Insight Molecular Diagnostics Inc. OCX · Entity 6631	GrantWarrant to Purchase Common Stock · Derivative	6,003,752	Not disclosed Strike: $1.53	Not disclosed	Disclosure SEC source: 0000919574-22-002783 · ownership.xml · derivative · entry 6 BROADWOOD PARTNERS, L.P. · CIK 0001278386 · 10% owner BRADSHER NEAL C · CIK 0001278388 · 10% owner BROADWOOD CAPITAL INC · CIK 0001278387 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,003,752 Underlying: Common Stock · 3,001,876 shares Expires 2027-04-19 F5 · kind: On April 14, 2022, Broadwood Partners participated in the Issuer's underwritten public offering pursuant to which it acquired: (i) 6,003,752 shares of the Common Stock; and (ii) 6,003,752 warrants (the "Warrants") to purchase up to 3,001,876 shares of the Common Stock at an exercise price of $1.53 per share. The Warrants (i) are currently exercisable, subject to a blocker provision that prevents Broadwood Partners from exercising the Warrants if it would be more than a 19.99% beneficial owner of the Common Stock following such exercise, and (ii) expire on April 19, 2027. F6 · kind: (Continued from Footnote 5) The Issuer has agreed to use its reasonable best efforts to obtain shareholder approval for the 19.99% blocker provision to be waived with respect to the Reporting Persons, so that the Reporting Persons may increase their beneficial ownership of the Common Stock above 19.99%. The aggregate purchase price paid for the Common Stock and the Warrants was $7,999,999.54. F5 · price: On April 14, 2022, Broadwood Partners participated in the Issuer's underwritten public offering pursuant to which it acquired: (i) 6,003,752 shares of the Common Stock; and (ii) 6,003,752 warrants (the "Warrants") to purchase up to 3,001,876 shares of the Common Stock at an exercise price of $1.53 per share. The Warrants (i) are currently exercisable, subject to a blocker provision that prevents Broadwood Partners from exercising the Warrants if it would be more than a 19.99% beneficial owner of the Common Stock following such exercise, and (ii) expire on April 19, 2027. F6 · price: (Continued from Footnote 5) The Issuer has agreed to use its reasonable best efforts to obtain shareholder approval for the 19.99% blocker provision to be waived with respect to the Reporting Persons, so that the Reporting Persons may increase their beneficial ownership of the Common Stock above 19.99%. The aggregate purchase price paid for the Common Stock and the Warrants was $7,999,999.54. F5 · derivative.exercise_date: On April 14, 2022, Broadwood Partners participated in the Issuer's underwritten public offering pursuant to which it acquired: (i) 6,003,752 shares of the Common Stock; and (ii) 6,003,752 warrants (the "Warrants") to purchase up to 3,001,876 shares of the Common Stock at an exercise price of $1.53 per share. The Warrants (i) are currently exercisable, subject to a blocker provision that prevents Broadwood Partners from exercising the Warrants if it would be more than a 19.99% beneficial owner of the Common Stock following such exercise, and (ii) expire on April 19, 2027. F6 · derivative.exercise_date: (Continued from Footnote 5) The Issuer has agreed to use its reasonable best efforts to obtain shareholder approval for the 19.99% blocker provision to be waived with respect to the Reporting Persons, so that the Reporting Persons may increase their beneficial ownership of the Common Stock above 19.99%. The aggregate purchase price paid for the Common Stock and the Warrants was $7,999,999.54. F1 · ownership.direct: 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. Read SEC document
April 14, 2022 Filed Apr 15, 2022 22:13 UTC	Insight Molecular Diagnostics Inc. OCX · Entity 6631	PurchaseCommon Stock, no par value	0	$0.00	$0.00	Disclosure SEC source: 0000919574-22-002783 · ownership.xml · nonDerivative · entry 2 BROADWOOD PARTNERS, L.P. · CIK 0001278386 · 10% owner BRADSHER NEAL C · CIK 0001278388 · 10% owner BROADWOOD CAPITAL INC · CIK 0001278387 · 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: 23,353,697 F5 · kind: On April 14, 2022, Broadwood Partners participated in the Issuer's underwritten public offering pursuant to which it acquired: (i) 6,003,752 shares of the Common Stock; and (ii) 6,003,752 warrants (the "Warrants") to purchase up to 3,001,876 shares of the Common Stock at an exercise price of $1.53 per share. The Warrants (i) are currently exercisable, subject to a blocker provision that prevents Broadwood Partners from exercising the Warrants if it would be more than a 19.99% beneficial owner of the Common Stock following such exercise, and (ii) expire on April 19, 2027. F6 · kind: (Continued from Footnote 5) The Issuer has agreed to use its reasonable best efforts to obtain shareholder approval for the 19.99% blocker provision to be waived with respect to the Reporting Persons, so that the Reporting Persons may increase their beneficial ownership of the Common Stock above 19.99%. The aggregate purchase price paid for the Common Stock and the Warrants was $7,999,999.54. 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. Read SEC document
April 14, 2022 Filed Apr 15, 2022 22:13 UTC	Insight Molecular Diagnostics Inc. OCX · Entity 6631	PurchaseCommon Stock, no par value	6,003,752	$1.33	$7,999,999.54	Disclosure SEC source: 0000919574-22-002783 · ownership.xml · nonDerivative · entry 1 BROADWOOD PARTNERS, L.P. · CIK 0001278386 · 10% owner BRADSHER NEAL C · CIK 0001278388 · 10% owner BROADWOOD CAPITAL INC · CIK 0001278387 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,353,697 F5 · kind: On April 14, 2022, Broadwood Partners participated in the Issuer's underwritten public offering pursuant to which it acquired: (i) 6,003,752 shares of the Common Stock; and (ii) 6,003,752 warrants (the "Warrants") to purchase up to 3,001,876 shares of the Common Stock at an exercise price of $1.53 per share. The Warrants (i) are currently exercisable, subject to a blocker provision that prevents Broadwood Partners from exercising the Warrants if it would be more than a 19.99% beneficial owner of the Common Stock following such exercise, and (ii) expire on April 19, 2027. F6 · kind: (Continued from Footnote 5) The Issuer has agreed to use its reasonable best efforts to obtain shareholder approval for the 19.99% blocker provision to be waived with respect to the Reporting Persons, so that the Reporting Persons may increase their beneficial ownership of the Common Stock above 19.99%. The aggregate purchase price paid for the Common Stock and the Warrants was $7,999,999.54. F5 · price: On April 14, 2022, Broadwood Partners participated in the Issuer's underwritten public offering pursuant to which it acquired: (i) 6,003,752 shares of the Common Stock; and (ii) 6,003,752 warrants (the "Warrants") to purchase up to 3,001,876 shares of the Common Stock at an exercise price of $1.53 per share. The Warrants (i) are currently exercisable, subject to a blocker provision that prevents Broadwood Partners from exercising the Warrants if it would be more than a 19.99% beneficial owner of the Common Stock following such exercise, and (ii) expire on April 19, 2027. F6 · price: (Continued from Footnote 5) The Issuer has agreed to use its reasonable best efforts to obtain shareholder approval for the 19.99% blocker provision to be waived with respect to the Reporting Persons, so that the Reporting Persons may increase their beneficial ownership of the Common Stock above 19.99%. The aggregate purchase price paid for the Common Stock and the Warrants was $7,999,999.54. F1 · ownership.direct: 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. Read SEC document
April 13, 2022 Filed Apr 15, 2022 22:13 UTC	Insight Molecular Diagnostics Inc. OCX · Entity 6631	GrantSeries A Convertible Preferred Stock · Derivative	0	Not disclosed Strike: $1.53	Not disclosed	Disclosure SEC source: 0000919574-22-002783 · ownership.xml · derivative · entry 5 BROADWOOD PARTNERS, L.P. · CIK 0001278386 · 10% owner BRADSHER NEAL C · CIK 0001278388 · 10% owner BROADWOOD CAPITAL INC · CIK 0001278387 · 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: 5,882.35 Underlying: Common Stock · 3,884,675 shares Expires not disclosed F3 · kind: On April 13, 2022, Broadwood Partners entered into a Securities Purchase Agreement (the "Purchase Agreement") with Oncocyte Corporation (the "Issuer") pursuant to which Broadwood Partners acquired 5,882.35 shares of Series A Convertible Preferred Stock (the "Series A Shares") from the Issuer in its registered direct offering for a total purchase price of $5,000,000, or $850 per Series A Share. The Series A Shares are currently convertible into 3,884,675 shares of the Issuer's common stock, no par value (the "Common Stock"), at the conversion price of $1.53 per share, subject to a blocker provision that prevents Broadwood Partners from converting the Series A Shares if it would be more than a 19.99% beneficial owner of the Common Stock following such conversion. F4 · kind: (Continued from Footnote 3) The Issuer has agreed to use its reasonable best efforts to obtain shareholder approval for the 19.99% blocker provision to be waived with respect to the Reporting Persons, so that the Reporting Persons may increase their beneficial ownership of the Common Stock above 19.99%. On April 8, 2024 or the earlier occurrence of certain events or transactions specified in the Purchase Agreement, the Issuer will mandatorily redeem all of the Series A Shares for a cash payment calculated in accordance with the terms of the Purchase Agreement. F3 · price: On April 13, 2022, Broadwood Partners entered into a Securities Purchase Agreement (the "Purchase Agreement") with Oncocyte Corporation (the "Issuer") pursuant to which Broadwood Partners acquired 5,882.35 shares of Series A Convertible Preferred Stock (the "Series A Shares") from the Issuer in its registered direct offering for a total purchase price of $5,000,000, or $850 per Series A Share. The Series A Shares are currently convertible into 3,884,675 shares of the Issuer's common stock, no par value (the "Common Stock"), at the conversion price of $1.53 per share, subject to a blocker provision that prevents Broadwood Partners from converting the Series A Shares if it would be more than a 19.99% beneficial owner of the Common Stock following such conversion. F4 · price: (Continued from Footnote 3) The Issuer has agreed to use its reasonable best efforts to obtain shareholder approval for the 19.99% blocker provision to be waived with respect to the Reporting Persons, so that the Reporting Persons may increase their beneficial ownership of the Common Stock above 19.99%. On April 8, 2024 or the earlier occurrence of certain events or transactions specified in the Purchase Agreement, the Issuer will mandatorily redeem all of the Series A Shares for a cash payment calculated in accordance with the terms of the Purchase Agreement. F3 · derivative.exercise_date: On April 13, 2022, Broadwood Partners entered into a Securities Purchase Agreement (the "Purchase Agreement") with Oncocyte Corporation (the "Issuer") pursuant to which Broadwood Partners acquired 5,882.35 shares of Series A Convertible Preferred Stock (the "Series A Shares") from the Issuer in its registered direct offering for a total purchase price of $5,000,000, or $850 per Series A Share. The Series A Shares are currently convertible into 3,884,675 shares of the Issuer's common stock, no par value (the "Common Stock"), at the conversion price of $1.53 per share, subject to a blocker provision that prevents Broadwood Partners from converting the Series A Shares if it would be more than a 19.99% beneficial owner of the Common Stock following such conversion. F4 · derivative.exercise_date: (Continued from Footnote 3) The Issuer has agreed to use its reasonable best efforts to obtain shareholder approval for the 19.99% blocker provision to be waived with respect to the Reporting Persons, so that the Reporting Persons may increase their beneficial ownership of the Common Stock above 19.99%. On April 8, 2024 or the earlier occurrence of certain events or transactions specified in the Purchase Agreement, the Issuer will mandatorily redeem all of the Series A Shares for a cash payment calculated in accordance with the terms of the Purchase Agreement. F3 · derivative.expiration_date: On April 13, 2022, Broadwood Partners entered into a Securities Purchase Agreement (the "Purchase Agreement") with Oncocyte Corporation (the "Issuer") pursuant to which Broadwood Partners acquired 5,882.35 shares of Series A Convertible Preferred Stock (the "Series A Shares") from the Issuer in its registered direct offering for a total purchase price of $5,000,000, or $850 per Series A Share. The Series A Shares are currently convertible into 3,884,675 shares of the Issuer's common stock, no par value (the "Common Stock"), at the conversion price of $1.53 per share, subject to a blocker provision that prevents Broadwood Partners from converting the Series A Shares if it would be more than a 19.99% beneficial owner of the Common Stock following such conversion. F4 · derivative.expiration_date: (Continued from Footnote 3) The Issuer has agreed to use its reasonable best efforts to obtain shareholder approval for the 19.99% blocker provision to be waived with respect to the Reporting Persons, so that the Reporting Persons may increase their beneficial ownership of the Common Stock above 19.99%. On April 8, 2024 or the earlier occurrence of certain events or transactions specified in the Purchase Agreement, the Issuer will mandatorily redeem all of the Series A Shares for a cash payment calculated in accordance with the terms of the Purchase Agreement. 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. Read SEC document
April 13, 2022 Filed Apr 15, 2022 22:13 UTC	Insight Molecular Diagnostics Inc. OCX · Entity 6631	GrantSeries A Convertible Preferred Stock · Derivative	5,882.35	Not disclosed Strike: $1.53	Not disclosed	Disclosure SEC source: 0000919574-22-002783 · ownership.xml · derivative · entry 4 BROADWOOD PARTNERS, L.P. · CIK 0001278386 · 10% owner BRADSHER NEAL C · CIK 0001278388 · 10% owner BROADWOOD CAPITAL INC · CIK 0001278387 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,882.35 Underlying: Common Stock · 3,884,675 shares Expires not disclosed F3 · kind: On April 13, 2022, Broadwood Partners entered into a Securities Purchase Agreement (the "Purchase Agreement") with Oncocyte Corporation (the "Issuer") pursuant to which Broadwood Partners acquired 5,882.35 shares of Series A Convertible Preferred Stock (the "Series A Shares") from the Issuer in its registered direct offering for a total purchase price of $5,000,000, or $850 per Series A Share. The Series A Shares are currently convertible into 3,884,675 shares of the Issuer's common stock, no par value (the "Common Stock"), at the conversion price of $1.53 per share, subject to a blocker provision that prevents Broadwood Partners from converting the Series A Shares if it would be more than a 19.99% beneficial owner of the Common Stock following such conversion. F4 · kind: (Continued from Footnote 3) The Issuer has agreed to use its reasonable best efforts to obtain shareholder approval for the 19.99% blocker provision to be waived with respect to the Reporting Persons, so that the Reporting Persons may increase their beneficial ownership of the Common Stock above 19.99%. On April 8, 2024 or the earlier occurrence of certain events or transactions specified in the Purchase Agreement, the Issuer will mandatorily redeem all of the Series A Shares for a cash payment calculated in accordance with the terms of the Purchase Agreement. F3 · price: On April 13, 2022, Broadwood Partners entered into a Securities Purchase Agreement (the "Purchase Agreement") with Oncocyte Corporation (the "Issuer") pursuant to which Broadwood Partners acquired 5,882.35 shares of Series A Convertible Preferred Stock (the "Series A Shares") from the Issuer in its registered direct offering for a total purchase price of $5,000,000, or $850 per Series A Share. The Series A Shares are currently convertible into 3,884,675 shares of the Issuer's common stock, no par value (the "Common Stock"), at the conversion price of $1.53 per share, subject to a blocker provision that prevents Broadwood Partners from converting the Series A Shares if it would be more than a 19.99% beneficial owner of the Common Stock following such conversion. F4 · price: (Continued from Footnote 3) The Issuer has agreed to use its reasonable best efforts to obtain shareholder approval for the 19.99% blocker provision to be waived with respect to the Reporting Persons, so that the Reporting Persons may increase their beneficial ownership of the Common Stock above 19.99%. On April 8, 2024 or the earlier occurrence of certain events or transactions specified in the Purchase Agreement, the Issuer will mandatorily redeem all of the Series A Shares for a cash payment calculated in accordance with the terms of the Purchase Agreement. F3 · derivative.exercise_date: On April 13, 2022, Broadwood Partners entered into a Securities Purchase Agreement (the "Purchase Agreement") with Oncocyte Corporation (the "Issuer") pursuant to which Broadwood Partners acquired 5,882.35 shares of Series A Convertible Preferred Stock (the "Series A Shares") from the Issuer in its registered direct offering for a total purchase price of $5,000,000, or $850 per Series A Share. The Series A Shares are currently convertible into 3,884,675 shares of the Issuer's common stock, no par value (the "Common Stock"), at the conversion price of $1.53 per share, subject to a blocker provision that prevents Broadwood Partners from converting the Series A Shares if it would be more than a 19.99% beneficial owner of the Common Stock following such conversion. F4 · derivative.exercise_date: (Continued from Footnote 3) The Issuer has agreed to use its reasonable best efforts to obtain shareholder approval for the 19.99% blocker provision to be waived with respect to the Reporting Persons, so that the Reporting Persons may increase their beneficial ownership of the Common Stock above 19.99%. On April 8, 2024 or the earlier occurrence of certain events or transactions specified in the Purchase Agreement, the Issuer will mandatorily redeem all of the Series A Shares for a cash payment calculated in accordance with the terms of the Purchase Agreement. F3 · derivative.expiration_date: On April 13, 2022, Broadwood Partners entered into a Securities Purchase Agreement (the "Purchase Agreement") with Oncocyte Corporation (the "Issuer") pursuant to which Broadwood Partners acquired 5,882.35 shares of Series A Convertible Preferred Stock (the "Series A Shares") from the Issuer in its registered direct offering for a total purchase price of $5,000,000, or $850 per Series A Share. The Series A Shares are currently convertible into 3,884,675 shares of the Issuer's common stock, no par value (the "Common Stock"), at the conversion price of $1.53 per share, subject to a blocker provision that prevents Broadwood Partners from converting the Series A Shares if it would be more than a 19.99% beneficial owner of the Common Stock following such conversion. F4 · derivative.expiration_date: (Continued from Footnote 3) The Issuer has agreed to use its reasonable best efforts to obtain shareholder approval for the 19.99% blocker provision to be waived with respect to the Reporting Persons, so that the Reporting Persons may increase their beneficial ownership of the Common Stock above 19.99%. On April 8, 2024 or the earlier occurrence of certain events or transactions specified in the Purchase Agreement, the Issuer will mandatorily redeem all of the Series A Shares for a cash payment calculated in accordance with the terms of the Purchase Agreement. F1 · ownership.direct: 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. Read SEC document
March 25, 2022 Filed Mar 25, 2022 21:56 UTC	Lineage Cell Therapeutics, Inc. LCTX · Entity 6045	PurchaseCommon Shares	0	$0.00	$0.00	Disclosure SEC source: 0000919574-22-002418 · ownership.xml · nonDerivative · entry 6 BROADWOOD PARTNERS, L.P. · CIK 0001278386 · Director · 10% owner BROADWOOD CAPITAL INC · CIK 0001278387 · 10% owner BRADSHER NEAL C · CIK 0001278388 · Director · 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: 34,935,485 F1 · ownership.nature: The reported securities are directly owned by Broadwood Partners, L.P. ("Broadwood Partners") and may be deemed beneficially owned by Broadwood Capital, Inc. as General Partner of Broadwood Partners and Neal C. Bradsher as President of Broadwood Capital, Inc. Each Reporting Person disclaims 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 25, 2022 Filed Mar 25, 2022 21:56 UTC	Lineage Cell Therapeutics, Inc. LCTX · Entity 6045	PurchaseCommon Shares	470,000	$1.44	$678,022.00	Disclosure SEC source: 0000919574-22-002418 · ownership.xml · nonDerivative · entry 5 BROADWOOD PARTNERS, L.P. · CIK 0001278386 · Director · 10% owner BROADWOOD CAPITAL INC · CIK 0001278387 · 10% owner BRADSHER NEAL C · CIK 0001278388 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,935,485 F4 · price: This constitutes the weighted average purchase price. The prices range from $1.36 to $1.50. The Reporting Person will provide upon request by the SEC Staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each separate price. F1 · ownership.direct: The reported securities are directly owned by Broadwood Partners, L.P. ("Broadwood Partners") and may be deemed beneficially owned by Broadwood Capital, Inc. as General Partner of Broadwood Partners and Neal C. Bradsher as President of Broadwood Capital, Inc. Each Reporting Person disclaims 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 24, 2022 Filed Mar 25, 2022 21:56 UTC	Lineage Cell Therapeutics, Inc. LCTX · Entity 6045	PurchaseCommon Shares	0	$0.00	$0.00	Disclosure SEC source: 0000919574-22-002418 · ownership.xml · nonDerivative · entry 4 BROADWOOD PARTNERS, L.P. · CIK 0001278386 · Director · 10% owner BROADWOOD CAPITAL INC · CIK 0001278387 · 10% owner BRADSHER NEAL C · CIK 0001278388 · Director · 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: 34,465,485 F1 · ownership.nature: The reported securities are directly owned by Broadwood Partners, L.P. ("Broadwood Partners") and may be deemed beneficially owned by Broadwood Capital, Inc. as General Partner of Broadwood Partners and Neal C. Bradsher as President of Broadwood Capital, Inc. Each Reporting Person disclaims 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 24, 2022 Filed Mar 25, 2022 21:56 UTC	Lineage Cell Therapeutics, Inc. LCTX · Entity 6045	PurchaseCommon Shares	200,000	$1.42	$284,340.00	Disclosure SEC source: 0000919574-22-002418 · ownership.xml · nonDerivative · entry 3 BROADWOOD PARTNERS, L.P. · CIK 0001278386 · Director · 10% owner BROADWOOD CAPITAL INC · CIK 0001278387 · 10% owner BRADSHER NEAL C · CIK 0001278388 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,465,485 F3 · price: This constitutes the weighted average purchase price. The prices range from $1.37 to $1.44. The Reporting Person will provide upon request by the SEC Staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each separate price. F1 · ownership.direct: The reported securities are directly owned by Broadwood Partners, L.P. ("Broadwood Partners") and may be deemed beneficially owned by Broadwood Capital, Inc. as General Partner of Broadwood Partners and Neal C. Bradsher as President of Broadwood Capital, Inc. Each Reporting Person disclaims 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 23, 2022 Filed Mar 25, 2022 21:56 UTC	Lineage Cell Therapeutics, Inc. LCTX · Entity 6045	PurchaseCommon Shares	0	$0.00	$0.00	Disclosure SEC source: 0000919574-22-002418 · ownership.xml · nonDerivative · entry 2 BROADWOOD PARTNERS, L.P. · CIK 0001278386 · Director · 10% owner BROADWOOD CAPITAL INC · CIK 0001278387 · 10% owner BRADSHER NEAL C · CIK 0001278388 · Director · 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: 34,265,485 F1 · ownership.nature: The reported securities are directly owned by Broadwood Partners, L.P. ("Broadwood Partners") and may be deemed beneficially owned by Broadwood Capital, Inc. as General Partner of Broadwood Partners and Neal C. Bradsher as President of Broadwood Capital, Inc. Each Reporting Person disclaims 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 23, 2022 Filed Mar 25, 2022 21:56 UTC	Lineage Cell Therapeutics, Inc. LCTX · Entity 6045	PurchaseCommon Shares	260,106	$1.37	$355,304.80	Disclosure SEC source: 0000919574-22-002418 · ownership.xml · nonDerivative · entry 1 BROADWOOD PARTNERS, L.P. · CIK 0001278386 · Director · 10% owner BROADWOOD CAPITAL INC · CIK 0001278387 · 10% owner BRADSHER NEAL C · CIK 0001278388 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,265,485 F2 · price: This constitutes the weighted average purchase price. The prices range from $1.33 to $1.38. The Reporting Person will provide upon request by the Securities and Exchange Commission staff (the "SEC Staff"), the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each separate price. F1 · ownership.direct: The reported securities are directly owned by Broadwood Partners, L.P. ("Broadwood Partners") and may be deemed beneficially owned by Broadwood Capital, Inc. as General Partner of Broadwood Partners and Neal C. Bradsher as President of Broadwood Capital, Inc. Each Reporting Person disclaims 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
October 01, 2021 Filed Oct 1, 2021 20:53 UTC	STAAR SURGICAL CO STAA · Entity 4851	OtherCommon Stock	0	$0.00	$0.00	Disclosure SEC source: 0000919574-21-006084 · ownership.xml · nonDerivative · entry 2 BROADWOOD PARTNERS, L.P. · CIK 0001278386 · 10% owner BRADSHER NEAL C · CIK 0001278388 · 10% owner BROADWOOD CAPITAL INC · CIK 0001278387 · 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: 8,592,007 F1 · kind: The shares were transferred to certain limited partners in Broadwood Partners, L.P. ("Broadwood Partners"). No shares were sold by Broadwood Partners. F1 · price: The shares were transferred to certain limited partners in Broadwood Partners, L.P. ("Broadwood Partners"). No shares were sold by Broadwood Partners. F2 · ownership.nature: The reported securities are directly owned by 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. Read SEC document
October 01, 2021 Filed Oct 1, 2021 20:53 UTC	STAAR SURGICAL CO STAA · Entity 4851	OtherCommon Stock	71,577	$0.00	$0.00	Disclosure SEC source: 0000919574-21-006084 · ownership.xml · nonDerivative · entry 1 BROADWOOD PARTNERS, L.P. · CIK 0001278386 · 10% owner BRADSHER NEAL C · CIK 0001278388 · 10% owner BROADWOOD CAPITAL INC · CIK 0001278387 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,592,007 F1 · kind: The shares were transferred to certain limited partners in Broadwood Partners, L.P. ("Broadwood Partners"). No shares were sold by Broadwood Partners. F1 · price: The shares were transferred to certain limited partners in Broadwood Partners, L.P. ("Broadwood Partners"). No shares were sold by Broadwood Partners. F2 · ownership.direct: The reported securities are directly owned by 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. Read SEC document
September 23, 2021 Filed Sep 24, 2021 20:56 UTC	Insight Molecular Diagnostics Inc. OCX · Entity 6631	OtherWarrant to Purchase Common Stock · Derivative	0	Not disclosed Strike: $3.15	Not disclosed	Disclosure SEC source: 0000919574-21-005979 · ownership.xml · derivative · entry 9 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: 0 Underlying: Common Stock · 573,461 shares Expires 2021-09-30 F2 · kind: On September 23, 2021, Broadwood Partners and Oncocyte Corporation (the "Issuer") entered into a Warrant Exercise Agreement pursuant to which: (i) the Issuer agreed to reduce the exercise price of a common stock warrant (the "Common Stock Warrant") held by Broadwood Partners to purchase up to 573,461 shares of the Issuer's common stock (the "Shares") from $3.25 per Share to $3.1525 per Share; and (ii) Broadwood Partners agreed to exercise the Common Stock Warrant in full on or prior to September 30, 2021. Shortly after executing the Warrant Exercise Agreement, Broadwood Partners exercised the Common Stock Warrant in full and received 573,461 Shares in exchange for payment to the Issuer of $1,807,835.81. F3 · kind: (Continued from Footnote 2) The first two reported transactions reflect the deemed cancellation of the "old" Common Stock Warrant and the grant of a "replacement" Common Stock Warrant, respectively, pursuant to the amendment of the Common Stock Warrant set forth in the Warrant Exercise Agreement. The third reported transaction reflects Broadwood Partners' full exercise of the replacement Common Stock Warrant after executing the Warrant Exercise Agreement. F2 · price: On September 23, 2021, Broadwood Partners and Oncocyte Corporation (the "Issuer") entered into a Warrant Exercise Agreement pursuant to which: (i) the Issuer agreed to reduce the exercise price of a common stock warrant (the "Common Stock Warrant") held by Broadwood Partners to purchase up to 573,461 shares of the Issuer's common stock (the "Shares") from $3.25 per Share to $3.1525 per Share; and (ii) Broadwood Partners agreed to exercise the Common Stock Warrant in full on or prior to September 30, 2021. Shortly after executing the Warrant Exercise Agreement, Broadwood Partners exercised the Common Stock Warrant in full and received 573,461 Shares in exchange for payment to the Issuer of $1,807,835.81. F3 · price: (Continued from Footnote 2) The first two reported transactions reflect the deemed cancellation of the "old" Common Stock Warrant and the grant of a "replacement" Common Stock Warrant, respectively, pursuant to the amendment of the Common Stock Warrant set forth in the Warrant Exercise Agreement. The third reported transaction reflects Broadwood Partners' full exercise of the replacement Common Stock Warrant after executing the Warrant Exercise Agreement. F5 · derivative.exercise_date: These warrants are currently exercisable. 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. Read SEC document
September 23, 2021 Filed Sep 24, 2021 20:56 UTC	Insight Molecular Diagnostics Inc. OCX · Entity 6631	OtherWarrant to Purchase Common Stock · Derivative	573,461	Not disclosed Strike: $3.15	Not disclosed	Disclosure SEC source: 0000919574-21-005979 · ownership.xml · derivative · entry 8 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: 0 Underlying: Common Stock · 573,461 shares Expires 2021-09-30 F2 · kind: On September 23, 2021, Broadwood Partners and Oncocyte Corporation (the "Issuer") entered into a Warrant Exercise Agreement pursuant to which: (i) the Issuer agreed to reduce the exercise price of a common stock warrant (the "Common Stock Warrant") held by Broadwood Partners to purchase up to 573,461 shares of the Issuer's common stock (the "Shares") from $3.25 per Share to $3.1525 per Share; and (ii) Broadwood Partners agreed to exercise the Common Stock Warrant in full on or prior to September 30, 2021. Shortly after executing the Warrant Exercise Agreement, Broadwood Partners exercised the Common Stock Warrant in full and received 573,461 Shares in exchange for payment to the Issuer of $1,807,835.81. F3 · kind: (Continued from Footnote 2) The first two reported transactions reflect the deemed cancellation of the "old" Common Stock Warrant and the grant of a "replacement" Common Stock Warrant, respectively, pursuant to the amendment of the Common Stock Warrant set forth in the Warrant Exercise Agreement. The third reported transaction reflects Broadwood Partners' full exercise of the replacement Common Stock Warrant after executing the Warrant Exercise Agreement. F2 · price: On September 23, 2021, Broadwood Partners and Oncocyte Corporation (the "Issuer") entered into a Warrant Exercise Agreement pursuant to which: (i) the Issuer agreed to reduce the exercise price of a common stock warrant (the "Common Stock Warrant") held by Broadwood Partners to purchase up to 573,461 shares of the Issuer's common stock (the "Shares") from $3.25 per Share to $3.1525 per Share; and (ii) Broadwood Partners agreed to exercise the Common Stock Warrant in full on or prior to September 30, 2021. Shortly after executing the Warrant Exercise Agreement, Broadwood Partners exercised the Common Stock Warrant in full and received 573,461 Shares in exchange for payment to the Issuer of $1,807,835.81. F3 · price: (Continued from Footnote 2) The first two reported transactions reflect the deemed cancellation of the "old" Common Stock Warrant and the grant of a "replacement" Common Stock Warrant, respectively, pursuant to the amendment of the Common Stock Warrant set forth in the Warrant Exercise Agreement. The third reported transaction reflects Broadwood Partners' full exercise of the replacement Common Stock Warrant after executing the Warrant Exercise Agreement. F5 · derivative.exercise_date: These warrants are currently exercisable. F1 · ownership.direct: 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. Read SEC document
September 23, 2021 Filed Sep 24, 2021 20:56 UTC	Insight Molecular Diagnostics Inc. OCX · Entity 6631	GrantWarrant to Purchase Common Stock · Derivative	0	Not disclosed Strike: $3.15	Not disclosed	Disclosure SEC source: 0000919574-21-005979 · ownership.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: 573,461 Underlying: Common Stock · 573,461 shares Expires 2021-09-30 F2 · kind: On September 23, 2021, Broadwood Partners and Oncocyte Corporation (the "Issuer") entered into a Warrant Exercise Agreement pursuant to which: (i) the Issuer agreed to reduce the exercise price of a common stock warrant (the "Common Stock Warrant") held by Broadwood Partners to purchase up to 573,461 shares of the Issuer's common stock (the "Shares") from $3.25 per Share to $3.1525 per Share; and (ii) Broadwood Partners agreed to exercise the Common Stock Warrant in full on or prior to September 30, 2021. Shortly after executing the Warrant Exercise Agreement, Broadwood Partners exercised the Common Stock Warrant in full and received 573,461 Shares in exchange for payment to the Issuer of $1,807,835.81. F3 · kind: (Continued from Footnote 2) The first two reported transactions reflect the deemed cancellation of the "old" Common Stock Warrant and the grant of a "replacement" Common Stock Warrant, respectively, pursuant to the amendment of the Common Stock Warrant set forth in the Warrant Exercise Agreement. The third reported transaction reflects Broadwood Partners' full exercise of the replacement Common Stock Warrant after executing the Warrant Exercise Agreement. F2 · price: On September 23, 2021, Broadwood Partners and Oncocyte Corporation (the "Issuer") entered into a Warrant Exercise Agreement pursuant to which: (i) the Issuer agreed to reduce the exercise price of a common stock warrant (the "Common Stock Warrant") held by Broadwood Partners to purchase up to 573,461 shares of the Issuer's common stock (the "Shares") from $3.25 per Share to $3.1525 per Share; and (ii) Broadwood Partners agreed to exercise the Common Stock Warrant in full on or prior to September 30, 2021. Shortly after executing the Warrant Exercise Agreement, Broadwood Partners exercised the Common Stock Warrant in full and received 573,461 Shares in exchange for payment to the Issuer of $1,807,835.81. F3 · price: (Continued from Footnote 2) The first two reported transactions reflect the deemed cancellation of the "old" Common Stock Warrant and the grant of a "replacement" Common Stock Warrant, respectively, pursuant to the amendment of the Common Stock Warrant set forth in the Warrant Exercise Agreement. The third reported transaction reflects Broadwood Partners' full exercise of the replacement Common Stock Warrant after executing the Warrant Exercise Agreement. F5 · derivative.exercise_date: These warrants are currently exercisable. 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. Read SEC document
September 23, 2021 Filed Sep 24, 2021 20:56 UTC	Insight Molecular Diagnostics Inc. OCX · Entity 6631	GrantWarrant to Purchase Common Stock · Derivative	573,461	Not disclosed Strike: $3.15	Not disclosed	Disclosure SEC source: 0000919574-21-005979 · ownership.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: 573,461 Underlying: Common Stock · 573,461 shares Expires 2021-09-30 F2 · kind: On September 23, 2021, Broadwood Partners and Oncocyte Corporation (the "Issuer") entered into a Warrant Exercise Agreement pursuant to which: (i) the Issuer agreed to reduce the exercise price of a common stock warrant (the "Common Stock Warrant") held by Broadwood Partners to purchase up to 573,461 shares of the Issuer's common stock (the "Shares") from $3.25 per Share to $3.1525 per Share; and (ii) Broadwood Partners agreed to exercise the Common Stock Warrant in full on or prior to September 30, 2021. Shortly after executing the Warrant Exercise Agreement, Broadwood Partners exercised the Common Stock Warrant in full and received 573,461 Shares in exchange for payment to the Issuer of $1,807,835.81. F3 · kind: (Continued from Footnote 2) The first two reported transactions reflect the deemed cancellation of the "old" Common Stock Warrant and the grant of a "replacement" Common Stock Warrant, respectively, pursuant to the amendment of the Common Stock Warrant set forth in the Warrant Exercise Agreement. The third reported transaction reflects Broadwood Partners' full exercise of the replacement Common Stock Warrant after executing the Warrant Exercise Agreement. F2 · price: On September 23, 2021, Broadwood Partners and Oncocyte Corporation (the "Issuer") entered into a Warrant Exercise Agreement pursuant to which: (i) the Issuer agreed to reduce the exercise price of a common stock warrant (the "Common Stock Warrant") held by Broadwood Partners to purchase up to 573,461 shares of the Issuer's common stock (the "Shares") from $3.25 per Share to $3.1525 per Share; and (ii) Broadwood Partners agreed to exercise the Common Stock Warrant in full on or prior to September 30, 2021. Shortly after executing the Warrant Exercise Agreement, Broadwood Partners exercised the Common Stock Warrant in full and received 573,461 Shares in exchange for payment to the Issuer of $1,807,835.81. F3 · price: (Continued from Footnote 2) The first two reported transactions reflect the deemed cancellation of the "old" Common Stock Warrant and the grant of a "replacement" Common Stock Warrant, respectively, pursuant to the amendment of the Common Stock Warrant set forth in the Warrant Exercise Agreement. The third reported transaction reflects Broadwood Partners' full exercise of the replacement Common Stock Warrant after executing the Warrant Exercise Agreement. F5 · derivative.exercise_date: These warrants are currently exercisable. F1 · ownership.direct: 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. Read SEC document
September 23, 2021 Filed Sep 24, 2021 20:56 UTC	Insight Molecular Diagnostics Inc. OCX · Entity 6631	Disposition to issuerWarrant to Purchase Common Stock · Derivative	0	Not disclosed Strike: $3.25	Not disclosed	Disclosure SEC source: 0000919574-21-005979 · 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: Not disclosed Ownership: Indirect · Footnote Disclosed balance after: 0 Underlying: Common Stock · 573,461 shares Expires 2021-10-17 F2 · kind: On September 23, 2021, Broadwood Partners and Oncocyte Corporation (the "Issuer") entered into a Warrant Exercise Agreement pursuant to which: (i) the Issuer agreed to reduce the exercise price of a common stock warrant (the "Common Stock Warrant") held by Broadwood Partners to purchase up to 573,461 shares of the Issuer's common stock (the "Shares") from $3.25 per Share to $3.1525 per Share; and (ii) Broadwood Partners agreed to exercise the Common Stock Warrant in full on or prior to September 30, 2021. Shortly after executing the Warrant Exercise Agreement, Broadwood Partners exercised the Common Stock Warrant in full and received 573,461 Shares in exchange for payment to the Issuer of $1,807,835.81. F3 · kind: (Continued from Footnote 2) The first two reported transactions reflect the deemed cancellation of the "old" Common Stock Warrant and the grant of a "replacement" Common Stock Warrant, respectively, pursuant to the amendment of the Common Stock Warrant set forth in the Warrant Exercise Agreement. The third reported transaction reflects Broadwood Partners' full exercise of the replacement Common Stock Warrant after executing the Warrant Exercise Agreement. F2 · price: On September 23, 2021, Broadwood Partners and Oncocyte Corporation (the "Issuer") entered into a Warrant Exercise Agreement pursuant to which: (i) the Issuer agreed to reduce the exercise price of a common stock warrant (the "Common Stock Warrant") held by Broadwood Partners to purchase up to 573,461 shares of the Issuer's common stock (the "Shares") from $3.25 per Share to $3.1525 per Share; and (ii) Broadwood Partners agreed to exercise the Common Stock Warrant in full on or prior to September 30, 2021. Shortly after executing the Warrant Exercise Agreement, Broadwood Partners exercised the Common Stock Warrant in full and received 573,461 Shares in exchange for payment to the Issuer of $1,807,835.81. F3 · price: (Continued from Footnote 2) The first two reported transactions reflect the deemed cancellation of the "old" Common Stock Warrant and the grant of a "replacement" Common Stock Warrant, respectively, pursuant to the amendment of the Common Stock Warrant set forth in the Warrant Exercise Agreement. The third reported transaction reflects Broadwood Partners' full exercise of the replacement Common Stock Warrant after executing the Warrant Exercise Agreement. F5 · derivative.exercise_date: These warrants are currently exercisable. 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. Read SEC document
September 23, 2021 Filed Sep 24, 2021 20:56 UTC	Insight Molecular Diagnostics Inc. OCX · Entity 6631	Disposition to issuerWarrant to Purchase Common Stock · Derivative	573,461	Not disclosed Strike: $3.25	Not disclosed	Disclosure SEC source: 0000919574-21-005979 · 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: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 573,461 shares Expires 2021-10-17 F2 · kind: On September 23, 2021, Broadwood Partners and Oncocyte Corporation (the "Issuer") entered into a Warrant Exercise Agreement pursuant to which: (i) the Issuer agreed to reduce the exercise price of a common stock warrant (the "Common Stock Warrant") held by Broadwood Partners to purchase up to 573,461 shares of the Issuer's common stock (the "Shares") from $3.25 per Share to $3.1525 per Share; and (ii) Broadwood Partners agreed to exercise the Common Stock Warrant in full on or prior to September 30, 2021. Shortly after executing the Warrant Exercise Agreement, Broadwood Partners exercised the Common Stock Warrant in full and received 573,461 Shares in exchange for payment to the Issuer of $1,807,835.81. F3 · kind: (Continued from Footnote 2) The first two reported transactions reflect the deemed cancellation of the "old" Common Stock Warrant and the grant of a "replacement" Common Stock Warrant, respectively, pursuant to the amendment of the Common Stock Warrant set forth in the Warrant Exercise Agreement. The third reported transaction reflects Broadwood Partners' full exercise of the replacement Common Stock Warrant after executing the Warrant Exercise Agreement. F2 · price: On September 23, 2021, Broadwood Partners and Oncocyte Corporation (the "Issuer") entered into a Warrant Exercise Agreement pursuant to which: (i) the Issuer agreed to reduce the exercise price of a common stock warrant (the "Common Stock Warrant") held by Broadwood Partners to purchase up to 573,461 shares of the Issuer's common stock (the "Shares") from $3.25 per Share to $3.1525 per Share; and (ii) Broadwood Partners agreed to exercise the Common Stock Warrant in full on or prior to September 30, 2021. Shortly after executing the Warrant Exercise Agreement, Broadwood Partners exercised the Common Stock Warrant in full and received 573,461 Shares in exchange for payment to the Issuer of $1,807,835.81. F3 · price: (Continued from Footnote 2) The first two reported transactions reflect the deemed cancellation of the "old" Common Stock Warrant and the grant of a "replacement" Common Stock Warrant, respectively, pursuant to the amendment of the Common Stock Warrant set forth in the Warrant Exercise Agreement. The third reported transaction reflects Broadwood Partners' full exercise of the replacement Common Stock Warrant after executing the Warrant Exercise Agreement. F5 · derivative.exercise_date: These warrants are currently exercisable. F1 · ownership.direct: 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. Read SEC document
September 23, 2021 Filed Sep 24, 2021 20:56 UTC	Insight Molecular Diagnostics Inc. OCX · Entity 6631	OtherCommon Stock, no par value	0	$0.00	$0.00	Disclosure SEC source: 0000919574-21-005979 · 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 · Footnote Disclosed balance after: 17,349,945 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. Read SEC document
September 23, 2021 Filed Sep 24, 2021 20:56 UTC	Insight Molecular Diagnostics Inc. OCX · Entity 6631	OtherCommon Stock, no par value	573,461	$3.15	$1,807,835.80	Disclosure SEC source: 0000919574-21-005979 · 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: 17,349,945 F2 · price: On September 23, 2021, Broadwood Partners and Oncocyte Corporation (the "Issuer") entered into a Warrant Exercise Agreement pursuant to which: (i) the Issuer agreed to reduce the exercise price of a common stock warrant (the "Common Stock Warrant") held by Broadwood Partners to purchase up to 573,461 shares of the Issuer's common stock (the "Shares") from $3.25 per Share to $3.1525 per Share; and (ii) Broadwood Partners agreed to exercise the Common Stock Warrant in full on or prior to September 30, 2021. Shortly after executing the Warrant Exercise Agreement, Broadwood Partners exercised the Common Stock Warrant in full and received 573,461 Shares in exchange for payment to the Issuer of $1,807,835.81. F3 · price: (Continued from Footnote 2) The first two reported transactions reflect the deemed cancellation of the "old" Common Stock Warrant and the grant of a "replacement" Common Stock Warrant, respectively, pursuant to the amendment of the Common Stock Warrant set forth in the Warrant Exercise Agreement. The third reported transaction reflects Broadwood Partners' full exercise of the replacement Common Stock Warrant after executing the Warrant Exercise Agreement. F1 · ownership.direct: 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. Read SEC document
July 01, 2021 Filed Jul 1, 2021 22:24 UTC	Lineage Cell Therapeutics, Inc. LCTX · Entity 6045	GrantOPTION TO PURCHASE COMMON SHARES · Derivative	50,000	$0.00 Strike: $2.86	$0.00	Disclosure SEC source: 0000919574-21-004361 · ownership.xml · derivative · entry 1 BRADSHER NEAL C · CIK 0001278388 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,000 Underlying: COMMON SHARES · 50,000 shares Expires 2031-07-01 F2 · price: These options were granted to the Reporting Person by the Issuer on July 1, 2021 as director compensation pursuant to the Issuer's 2012 Equity Incentive Plan, as amended. F1 · derivative.exercise_date: These options will vest and become exercisable on July 1, 2022, provided, that Neal C. Bradsher (the "Reporting Person") remains a member of the board of directors of Lineage Cell Therapeutics, Inc. (the "Issuer") on that date. Read SEC document
July 01, 2021 Filed Jul 2, 2021 23:03 UTC	STAAR SURGICAL CO STAA · Entity 4851	OtherCommon Stock	0	$0.00	$0.00	Disclosure SEC source: 0000919574-21-004381 · 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 · Footnote Disclosed balance after: 8,663,584 F1 · kind: The shares were transferred to a limited partner in Broadwood Partners, L.P. No shares were sold by Broadwood Partners, L.P. F1 · price: The shares were transferred to a limited partner in Broadwood Partners, L.P. No shares were sold by Broadwood Partners, L.P. F2 · ownership.nature: The reported securities are directly owned by Broadwood Partners, L.P. and may be deemed to be indirectly beneficially owned by: (i) Broadwood Capital, Inc. as General Partner of Broadwood Partners; and (ii) Neal C. Bradsher as President of Broadwood Capital, Inc. 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. Read SEC document
July 01, 2021 Filed Jul 2, 2021 23:03 UTC	STAAR SURGICAL CO STAA · Entity 4851	OtherCommon Stock	655	$0.00	$0.00	Disclosure SEC source: 0000919574-21-004381 · 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: 8,663,584 F1 · kind: The shares were transferred to a limited partner in Broadwood Partners, L.P. No shares were sold by Broadwood Partners, L.P. F1 · price: The shares were transferred to a limited partner in Broadwood Partners, L.P. No shares were sold by Broadwood Partners, L.P. F2 · ownership.direct: The reported securities are directly owned by Broadwood Partners, L.P. and may be deemed to be indirectly beneficially owned by: (i) Broadwood Capital, Inc. as General Partner of Broadwood Partners; and (ii) Neal C. Bradsher as President of Broadwood Capital, Inc. 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. Read SEC document
June 28, 2021 Filed Jun 28, 2021 22:50 UTC	STAAR SURGICAL CO STAA · Entity 4851	SaleCommon Stock	0	$0.00	$0.00	Disclosure SEC source: 0000919574-21-004306 · ownership.xml · nonDerivative · entry 6 BROADWOOD PARTNERS, L.P. · CIK 0001278386 · 10% owner BRADSHER NEAL C · CIK 0001278388 · 10% owner BROADWOOD CAPITAL INC · CIK 0001278387 · 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: 8,664,239 F1 · ownership.nature: The reported securities are directly owned by Broadwood Partners, L.P. ("Broadwood Partners") and may be deemed beneficially owned by Broadwood Capital, Inc. as General Partner of Broadwood Partners and Neal C. Bradsher as President of Broadwood Capital, Inc. Each Reporting Person disclaims 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
June 28, 2021 Filed Jun 28, 2021 22:50 UTC	STAAR SURGICAL CO STAA · Entity 4851	SaleCommon Stock	130,000	$155.19	$20,174,700.00	Disclosure SEC source: 0000919574-21-004306 · ownership.xml · nonDerivative · entry 5 BROADWOOD PARTNERS, L.P. · CIK 0001278386 · 10% owner BRADSHER NEAL C · CIK 0001278388 · 10% owner BROADWOOD CAPITAL INC · CIK 0001278387 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,664,239 F4 · price: This constitutes the weighted average sale price. The prices range from $155.01 to $158.51. The Reporting Persons will provide upon request by the SEC Staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price. F1 · ownership.direct: The reported securities are directly owned by Broadwood Partners, L.P. ("Broadwood Partners") and may be deemed beneficially owned by Broadwood Capital, Inc. as General Partner of Broadwood Partners and Neal C. Bradsher as President of Broadwood Capital, Inc. Each Reporting Person disclaims 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
June 25, 2021 Filed Jun 25, 2021 19:46 UTC	Lineage Cell Therapeutics, Inc. LCTX · Entity 6045	Exercise / conversionOPTION TO PURCHASE COMMON SHARES · Derivative	24,720	$0.00 Strike: $2.20	$0.00	Disclosure SEC source: 0000919574-21-004286 · ownership.xml · derivative · entry 3 BRADSHER NEAL C · CIK 0001278388 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: COMMON SHARES · 24,720 shares Expires 2021-06-30 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_date: These options are currently exercisable. Read SEC document
June 25, 2021 Filed Jun 25, 2021 19:46 UTC	Lineage Cell Therapeutics, Inc. LCTX · Entity 6045	Exercise / conversionCommon Shares	24,720	$2.20	$54,384.00	Disclosure SEC source: 0000919574-21-004286 · ownership.xml · nonDerivative · entry 1 BRADSHER NEAL C · CIK 0001278388 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 87,628 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document
June 25, 2021 Filed Jun 28, 2021 22:50 UTC	STAAR SURGICAL CO STAA · Entity 4851	SaleCommon Stock	0	$0.00	$0.00	Disclosure SEC source: 0000919574-21-004306 · ownership.xml · nonDerivative · entry 4 BROADWOOD PARTNERS, L.P. · CIK 0001278386 · 10% owner BRADSHER NEAL C · CIK 0001278388 · 10% owner BROADWOOD CAPITAL INC · CIK 0001278387 · 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: 8,794,239 F1 · ownership.nature: The reported securities are directly owned by Broadwood Partners, L.P. ("Broadwood Partners") and may be deemed beneficially owned by Broadwood Capital, Inc. as General Partner of Broadwood Partners and Neal C. Bradsher as President of Broadwood Capital, Inc. Each Reporting Person disclaims 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
June 25, 2021 Filed Jun 28, 2021 22:50 UTC	STAAR SURGICAL CO STAA · Entity 4851	SaleCommon Stock	30,735	$155.84	$4,789,742.40	Disclosure SEC source: 0000919574-21-004306 · ownership.xml · nonDerivative · entry 3 BROADWOOD PARTNERS, L.P. · CIK 0001278386 · 10% owner BRADSHER NEAL C · CIK 0001278388 · 10% owner BROADWOOD CAPITAL INC · CIK 0001278387 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,794,239 F3 · price: This constitutes the weighted average sale price. The prices range from $155.03 to $157.67. The Reporting Persons will provide upon request by the SEC Staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price. F1 · ownership.direct: The reported securities are directly owned by Broadwood Partners, L.P. ("Broadwood Partners") and may be deemed beneficially owned by Broadwood Capital, Inc. as General Partner of Broadwood Partners and Neal C. Bradsher as President of Broadwood Capital, Inc. Each Reporting Person disclaims 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
June 24, 2021 Filed Jun 28, 2021 22:50 UTC	STAAR SURGICAL CO STAA · Entity 4851	SaleCommon Stock	0	$0.00	$0.00	Disclosure SEC source: 0000919574-21-004306 · ownership.xml · nonDerivative · entry 2 BROADWOOD PARTNERS, L.P. · CIK 0001278386 · 10% owner BRADSHER NEAL C · CIK 0001278388 · 10% owner BROADWOOD CAPITAL INC · CIK 0001278387 · 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: 8,824,974 F1 · ownership.nature: The reported securities are directly owned by Broadwood Partners, L.P. ("Broadwood Partners") and may be deemed beneficially owned by Broadwood Capital, Inc. as General Partner of Broadwood Partners and Neal C. Bradsher as President of Broadwood Capital, Inc. Each Reporting Person disclaims 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
June 24, 2021 Filed Jun 28, 2021 22:50 UTC	STAAR SURGICAL CO STAA · Entity 4851	SaleCommon Stock	67,708	$157.83	$10,686,353.64	Disclosure SEC source: 0000919574-21-004306 · ownership.xml · nonDerivative · entry 1 BROADWOOD PARTNERS, L.P. · CIK 0001278386 · 10% owner BRADSHER NEAL C · CIK 0001278388 · 10% owner BROADWOOD CAPITAL INC · CIK 0001278387 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,824,974 F2 · price: This constitutes the weighted average sale price. The prices range from $154.96 to $161.57. The Reporting Persons will provide upon request by the Securities and Exchange Commission staff (the "SEC Staff"), the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price. F1 · ownership.direct: The reported securities are directly owned by Broadwood Partners, L.P. ("Broadwood Partners") and may be deemed beneficially owned by Broadwood Capital, Inc. as General Partner of Broadwood Partners and Neal C. Bradsher as President of Broadwood Capital, Inc. Each Reporting Person disclaims 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
June 18, 2021 Filed Jun 21, 2021 12:28 UTC	STAAR SURGICAL CO STAA · Entity 4851	SaleCommon Stock	0	$0.00	$0.00	Disclosure SEC source: 0000919574-21-004135 · ownership.xml · nonDerivative · 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 · See Footnote Disclosed balance after: 8,892,682 F1 · ownership.nature: The reported securities are directly owned by Broadwood Partners, L.P. ("Broadwood Partners") and may be deemed beneficially owned by Broadwood Capital, Inc. as General Partner of Broadwood Partners and Neal C. Bradsher as President of Broadwood Capital, Inc. Each Reporting Person disclaims 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
June 18, 2021 Filed Jun 21, 2021 12:28 UTC	STAAR SURGICAL CO STAA · Entity 4851	SaleCommon Stock	13,236	$152.59	$2,019,681.24	Disclosure SEC source: 0000919574-21-004135 · ownership.xml · nonDerivative · 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: 8,892,682 F4 · price: This constitutes the weighted average sale price. The prices range from $151.04 to $154.48. The Reporting Persons will provide upon request by the SEC Staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price. F1 · ownership.direct: The reported securities are directly owned by Broadwood Partners, L.P. ("Broadwood Partners") and may be deemed beneficially owned by Broadwood Capital, Inc. as General Partner of Broadwood Partners and Neal C. Bradsher as President of Broadwood Capital, Inc. Each Reporting Person disclaims 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
June 17, 2021 Filed Jun 21, 2021 12:28 UTC	STAAR SURGICAL CO STAA · Entity 4851	SaleCommon Stock	0	$0.00	$0.00	Disclosure SEC source: 0000919574-21-004135 · ownership.xml · nonDerivative · 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 · See Footnote Disclosed balance after: 8,905,918 F1 · ownership.nature: The reported securities are directly owned by Broadwood Partners, L.P. ("Broadwood Partners") and may be deemed beneficially owned by Broadwood Capital, Inc. as General Partner of Broadwood Partners and Neal C. Bradsher as President of Broadwood Capital, Inc. Each Reporting Person disclaims 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
June 17, 2021 Filed Jun 21, 2021 12:28 UTC	STAAR SURGICAL CO STAA · Entity 4851	SaleCommon Stock	63,896	$150.31	$9,604,207.76	Disclosure SEC source: 0000919574-21-004135 · ownership.xml · nonDerivative · 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: 8,905,918 F3 · price: This constitutes the weighted average sale price. The prices range from $148.25 to $151.91. The Reporting Persons will provide upon request by the SEC Staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price. F1 · ownership.direct: The reported securities are directly owned by Broadwood Partners, L.P. ("Broadwood Partners") and may be deemed beneficially owned by Broadwood Capital, Inc. as General Partner of Broadwood Partners and Neal C. Bradsher as President of Broadwood Capital, Inc. Each Reporting Person disclaims 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
June 16, 2021 Filed Jun 21, 2021 12:28 UTC	STAAR SURGICAL CO STAA · Entity 4851	SaleCommon Stock	0	$0.00	$0.00	Disclosure SEC source: 0000919574-21-004135 · 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: 8,969,814 F1 · ownership.nature: The reported securities are directly owned by Broadwood Partners, L.P. ("Broadwood Partners") and may be deemed beneficially owned by Broadwood Capital, Inc. as General Partner of Broadwood Partners and Neal C. Bradsher as President of Broadwood Capital, Inc. Each Reporting Person disclaims 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
June 16, 2021 Filed Jun 21, 2021 12:28 UTC	STAAR SURGICAL CO STAA · Entity 4851	SaleCommon Stock	30,543	$148.79	$4,544,492.97	Disclosure SEC source: 0000919574-21-004135 · 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: 8,969,814 F2 · price: This constitutes the weighted average sale price. The prices range from $148.01 to $150.37. The Reporting Persons will provide upon request by the Securities and Exchange Commission staff (the "SEC Staff"), the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price. F1 · ownership.direct: The reported securities are directly owned by Broadwood Partners, L.P. ("Broadwood Partners") and may be deemed beneficially owned by Broadwood Capital, Inc. as General Partner of Broadwood Partners and Neal C. Bradsher as President of Broadwood Capital, Inc. Each Reporting Person disclaims 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
June 15, 2021 Filed Jun 16, 2021 00:59 UTC	STAAR SURGICAL CO STAA · Entity 4851	SaleCommon Stock	0	$0.00	$0.00	Disclosure SEC source: 0000919574-21-004102 · ownership.xml · nonDerivative · 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: 9,000,357 F1 · ownership.nature: The reported securities are directly owned by Broadwood Partners, L.P. ("Broadwood Partners") and may be deemed beneficially owned by Broadwood Capital, Inc. as General Partner of Broadwood Partners and Neal C. Bradsher as President of Broadwood Capital, Inc. Each Reporting Person disclaims 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
June 15, 2021 Filed Jun 16, 2021 00:59 UTC	STAAR SURGICAL CO STAA · Entity 4851	SaleCommon Stock	35,380	$147.46	$5,217,134.80	Disclosure SEC source: 0000919574-21-004102 · ownership.xml · nonDerivative · 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: 9,000,357 F4 · price: This constitutes the weighted average sale price. The prices range from $147.02 to $148.51. The Reporting Persons will provide upon request by the SEC Staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price. F1 · ownership.direct: The reported securities are directly owned by Broadwood Partners, L.P. ("Broadwood Partners") and may be deemed beneficially owned by Broadwood Capital, Inc. as General Partner of Broadwood Partners and Neal C. Bradsher as President of Broadwood Capital, Inc. Each Reporting Person disclaims 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
June 14, 2021 Filed Jun 16, 2021 00:59 UTC	STAAR SURGICAL CO STAA · Entity 4851	SaleCommon Stock	0	$0.00	$0.00	Disclosure SEC source: 0000919574-21-004102 · ownership.xml · nonDerivative · 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: 9,035,737 F1 · ownership.nature: The reported securities are directly owned by Broadwood Partners, L.P. ("Broadwood Partners") and may be deemed beneficially owned by Broadwood Capital, Inc. as General Partner of Broadwood Partners and Neal C. Bradsher as President of Broadwood Capital, Inc. Each Reporting Person disclaims 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
June 14, 2021 Filed Jun 16, 2021 00:59 UTC	STAAR SURGICAL CO STAA · Entity 4851	SaleCommon Stock	21,895	$147.79	$3,235,862.05	Disclosure SEC source: 0000919574-21-004102 · ownership.xml · nonDerivative · 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: 9,035,737 F3 · price: This constitutes the weighted average sale price. The prices range from $147.01 to $149.88. The Reporting Persons will provide upon request by the SEC Staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price. F1 · ownership.direct: The reported securities are directly owned by Broadwood Partners, L.P. ("Broadwood Partners") and may be deemed beneficially owned by Broadwood Capital, Inc. as General Partner of Broadwood Partners and Neal C. Bradsher as President of Broadwood Capital, Inc. Each Reporting Person disclaims 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
June 11, 2021 Filed Jun 16, 2021 00:59 UTC	STAAR SURGICAL CO STAA · Entity 4851	SaleCommon Stock	0	$0.00	$0.00	Disclosure SEC source: 0000919574-21-004102 · 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 · Footnote Disclosed balance after: 9,057,632 F1 · ownership.nature: The reported securities are directly owned by Broadwood Partners, L.P. ("Broadwood Partners") and may be deemed beneficially owned by Broadwood Capital, Inc. as General Partner of Broadwood Partners and Neal C. Bradsher as President of Broadwood Capital, Inc. Each Reporting Person disclaims 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
June 11, 2021 Filed Jun 16, 2021 00:59 UTC	STAAR SURGICAL CO STAA · Entity 4851	SaleCommon Stock	2,275	$147.05	$334,538.75	Disclosure SEC source: 0000919574-21-004102 · 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: 9,057,632 F2 · price: This constitutes the weighted average sale price. The prices range from $147.01 to $147.27. The Reporting Persons will provide upon request by the Securities and Exchange Commission staff (the "SEC Staff"), the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price. F1 · ownership.direct: The reported securities are directly owned by Broadwood Partners, L.P. ("Broadwood Partners") and may be deemed beneficially owned by Broadwood Capital, Inc. as General Partner of Broadwood Partners and Neal C. Bradsher as President of Broadwood Capital, Inc. Each Reporting Person disclaims 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
June 01, 2021 Filed Jun 1, 2021 23:21 UTC	STAAR SURGICAL CO STAA · Entity 4851	SaleCommon Stock	0	$0.00	$0.00	Disclosure SEC source: 0000919574-21-003885 · ownership.xml · nonDerivative · 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: 9,059,907 F1 · ownership.nature: The reported securities are directly owned by Broadwood Partners, L.P. ("Broadwood Partners") and may be deemed beneficially owned by Broadwood Capital, Inc. as General Partner of Broadwood Partners and Neal C. Bradsher as President of Broadwood Capital, Inc. Each Reporting Person disclaims 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
June 01, 2021 Filed Jun 1, 2021 23:21 UTC	STAAR SURGICAL CO STAA · Entity 4851	SaleCommon Stock	1,014	$146.36	$148,409.04	Disclosure SEC source: 0000919574-21-003885 · ownership.xml · nonDerivative · 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: 9,059,907 F4 · price: This constitutes the weighted average sale price. The prices range from $146.02 to $146.95. The Reporting Persons will provide upon request by the SEC Staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price. F1 · ownership.direct: The reported securities are directly owned by Broadwood Partners, L.P. ("Broadwood Partners") and may be deemed beneficially owned by Broadwood Capital, Inc. as General Partner of Broadwood Partners and Neal C. Bradsher as President of Broadwood Capital, Inc. Each Reporting Person disclaims 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

Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.