James Andrea S.

SEC source: 0001493152-26-013574 · ownership.xml · derivative · entry 3

James Andrea S. · CIK 0002027010 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 84,905

Underlying: Common Stock · 28,302 shares

Expires not disclosed

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.

F3 · derivative.exercise_price: Each RSU has a value equal to one share of common stock. 25% of the RSUs vested on March 26, 2026 and the remaining 75% will vest in equal installments on each of the second-, third- and fourth-year anniversaries, respectively, of the effective date of grant subject to continuous service through the applicable vesting date.

F3 · derivative.exercise_date: Each RSU has a value equal to one share of common stock. 25% of the RSUs vested on March 26, 2026 and the remaining 75% will vest in equal installments on each of the second-, third- and fourth-year anniversaries, respectively, of the effective date of grant subject to continuous service through the applicable vesting date.

F3 · derivative.expiration_date: Each RSU has a value equal to one share of common stock. 25% of the RSUs vested on March 26, 2026 and the remaining 75% will vest in equal installments on each of the second-, third- and fourth-year anniversaries, respectively, of the effective date of grant subject to continuous service through the applicable vesting date.

SEC source: 0001493152-26-013574 · ownership.xml · nonDerivative · entry 2

James Andrea S. · CIK 0002027010 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 206,060

F2 · shares: The reported disposition reflects shares withheld by the Company to cover required tax withholding obligations upon the vesting of the RSUs. The reporting person did not sell any shares.

SEC source: 0001493152-26-013574 · ownership.xml · nonDerivative · entry 1

James Andrea S. · CIK 0002027010 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 217,358

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.

F1 · price: Represents vesting of restricted stock units ("RSUs") issued pursuant to the Company's 2018 Equity Incentive Plan. Each RSU represents the right to receive, at settlement, one share of common stock. The RSUs vested on the one-year anniversary of the effective date of grant.

SEC source: 0001493152-25-020719 · ownership.xml · derivative · entry 2

James Andrea S. · CIK 0002027010 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Represents an award of performance-based restricted stock units ("RSUs") issued pursuant to the Company's 2018 Equity Incentive Plan. Each RSU represents the right to receive, at settlement, one share of Common Stock.

F1 · shares: Represents an award of performance-based restricted stock units ("RSUs") issued pursuant to the Company's 2018 Equity Incentive Plan. Each RSU represents the right to receive, at settlement, one share of Common Stock.

F1 · price: Represents an award of performance-based restricted stock units ("RSUs") issued pursuant to the Company's 2018 Equity Incentive Plan. Each RSU represents the right to receive, at settlement, one share of Common Stock.

F2 · derivative.exercise_date: The RSUs vested on the last day of the month upon satisfaction of the "Baby Shelf" performance condition described in the Reporting Person's Employment Agreement, which required that the Company's public float reach at least $75 million such that the Company would no longer be subject to the SEC's "baby shelf" limitations on Form S-3 eligibility. The satisfaction of this condition resulted in the vesting of 50% of the RSUs granted to the Reporting Person, subject to the Reporting Person's continued service.

F2 · derivative.expiration_date: The RSUs vested on the last day of the month upon satisfaction of the "Baby Shelf" performance condition described in the Reporting Person's Employment Agreement, which required that the Company's public float reach at least $75 million such that the Company would no longer be subject to the SEC's "baby shelf" limitations on Form S-3 eligibility. The satisfaction of this condition resulted in the vesting of 50% of the RSUs granted to the Reporting Person, subject to the Reporting Person's continued service.

F1 · derivative.underlying_shares: Represents an award of performance-based restricted stock units ("RSUs") issued pursuant to the Company's 2018 Equity Incentive Plan. Each RSU represents the right to receive, at settlement, one share of Common Stock.

SEC source: 0001493152-25-020719 · ownership.xml · nonDerivative · entry 1

James Andrea S. · CIK 0002027010 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 201,231

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.

F1 · shares: Represents an award of performance-based restricted stock units ("RSUs") issued pursuant to the Company's 2018 Equity Incentive Plan. Each RSU represents the right to receive, at settlement, one share of Common Stock.

F1 · price: Represents an award of performance-based restricted stock units ("RSUs") issued pursuant to the Company's 2018 Equity Incentive Plan. Each RSU represents the right to receive, at settlement, one share of Common Stock.

SEC source: 0001493152-25-022358 · ownership.xml · derivative · entry 3

James Andrea S. · CIK 0002027010 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires not disclosed

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.

F1 · derivative.exercise_price: Represents vesting an award of performance-based restricted stock units ("RSUs") issued pursuant to the Company's 2018 Equity Incentive Plan. Each RSU represents the right to receive, at settlement, one share of common stock.

F3 · derivative.exercise_date: The RSUs vested on the last day of the month upon satisfaction of the "Baby Shelf" performance condition described in the Reporting Person's Employment Agreement, which required that the Company's public float reach at least $75 million such that the Company would no longer be subject to the SEC's "baby shelf" limitations on Form S-3 eligibility. The satisfaction of this condition resulted in the vesting of 50% of the RSUs granted to the Reporting Person, subject to the Reporting Person's continued service.

F3 · derivative.expiration_date: The RSUs vested on the last day of the month upon satisfaction of the "Baby Shelf" performance condition described in the Reporting Person's Employment Agreement, which required that the Company's public float reach at least $75 million such that the Company would no longer be subject to the SEC's "baby shelf" limitations on Form S-3 eligibility. The satisfaction of this condition resulted in the vesting of 50% of the RSUs granted to the Reporting Person, subject to the Reporting Person's continued service.

SEC source: 0001493152-25-022358 · ownership.xml · nonDerivative · entry 2

James Andrea S. · CIK 0002027010 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 189,056

F2 · price: The reported disposition reflects shares withheld by the Company to cover required tax withholding obligations upon the vesting of the RSUs. The reporting person did not sell any shares.

SEC source: 0001493152-25-022358 · ownership.xml · nonDerivative · entry 1

James Andrea S. · CIK 0002027010 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 201,231

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.

F1 · price: Represents vesting an award of performance-based restricted stock units ("RSUs") issued pursuant to the Company's 2018 Equity Incentive Plan. Each RSU represents the right to receive, at settlement, one share of common stock.

SEC source: 0001493152-25-016349 · ownership.xml · derivative · entry 1

James Andrea S. · CIK 0002027010 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 235,000

Underlying: Common Stock · 235,000 shares

Expires 2035-09-28

F1 · derivative.exercise_date: 33 and 1/3% of the options will become exercisable after one year of continuous service from the effective date of grant, and the balance will become exercisable in 24 equal monthly installments commencing one year after the date of grant subject to continuous service through the applicable vesting date.

SEC source: 0001641172-25-001181 · ownership.xml · derivative · entry 1

James Andrea S. · CIK 0002027010 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 113,207

Underlying: Common Stock · 113,207 shares

Expires not disclosed

F1 · derivative.exercise_date: 25% of the restricted stock units will vest on each of the one-, two-, three- and four-year anniversaries, respectively, of the effective date of grant subject to continuous service through the applicable vesting date.

F1 · derivative.expiration_date: 25% of the restricted stock units will vest on each of the one-, two-, three- and four-year anniversaries, respectively, of the effective date of grant subject to continuous service through the applicable vesting date.

SEC source: 0001493152-25-005978 · ownership.xml · nonDerivative · entry 1

James Andrea S. · CIK 0002027010 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 151,231

F1 · shares: Reflects shares of the Issuer's common stock, no par value, purchased by the Reporting Person from the Issuer in a private placement pursuant to that certain Securities Purchase Agreement, dated as of February 7, 2025, by and among the Issuer and the investors signatory thereto.

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

James Andrea S. · CIK 0002027010 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 53,670

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

James Andrea S. · CIK 0002027010 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires not disclosed

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

F1 · date: As previously disclosed in the Form 4 filed by the Reporting Person on June 24, 2024 (the "Prior Form 4"), the derivative securities were granted on June 20, 2024 (the "Grant Date"), but such award was subject to stockholder approval of an increase in the number of shares available for issuance under the Oncocyte Corporation Amended and Restated 2018 Equity Incentive Plan. Such stockholder approval was obtained on October 11, 2024.

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

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

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

James Andrea S. · CIK 0002027010 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 200,000

Underlying: Common Stock · 200,000 shares

Expires 2034-06-20

F1 · date: As previously disclosed in the Form 4 filed by the Reporting Person on June 24, 2024 (the "Prior Form 4"), the derivative securities were granted on June 20, 2024 (the "Grant Date"), but such award was subject to stockholder approval of an increase in the number of shares available for issuance under the Oncocyte Corporation Amended and Restated 2018 Equity Incentive Plan. Such stockholder approval was obtained on October 11, 2024.

F2 · derivative.exercise_date: The Option shall vest as follows, subject to the Reporting Person's continued compliance with any restrictive covenants by which the Reporting Person may be bound and continuous service as an employee of the Issuer or a subsidiary of the Issuer from June 17, 2024, through the applicable vesting date: (A) twenty-five percent (25%) of the shares subject to the Option will vest and thereby become exercisable upon the one-year anniversary of the Grant Date, and (B) 75% of the shares subject to the Option will vest in thirty-six (36) substantially equal monthly installments thereafter.

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

James Andrea S. · CIK 0002027010 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 33,670

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

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

James Andrea S. · CIK 0002027010 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 300,000

Underlying: Common Stock · 100,000 shares

Expires not disclosed

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

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

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

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

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

James Andrea S. · CIK 0002027010 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 200,000

Underlying: Common Stock · 200,000 shares

Expires not disclosed

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

F2 · derivative.exercise_date: The Option shall vest as follows, subject to the Reporting Person's continued compliance with any restrictive covenants by which the Reporting Person may be bound and continuous service as an employee of the Issuer or a Subsidiary from June 17, 2024, through the applicable vesting date: (A) twenty-five percent (25%) of the shares subject to the Option will vest and thereby become exercisable upon the one-year anniversary of the Grant Date, and (B) 75% of the shares subject to the Option will vest in thirty-six (36) substantially equal monthly installments thereafter.

F2 · derivative.expiration_date: The Option shall vest as follows, subject to the Reporting Person's continued compliance with any restrictive covenants by which the Reporting Person may be bound and continuous service as an employee of the Issuer or a Subsidiary from June 17, 2024, through the applicable vesting date: (A) twenty-five percent (25%) of the shares subject to the Option will vest and thereby become exercisable upon the one-year anniversary of the Grant Date, and (B) 75% of the shares subject to the Option will vest in thirty-six (36) substantially equal monthly installments thereafter.