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Form 3 Oncocyte Corp For: Dec 02 Filed by: Riggs Josh

December 9, 2022 8:20 PM EST

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FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person *
Riggs Josh

(Last) (First) (Middle)
15 CUSHING

(Street)
IRVINE CA 92618

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
12/02/2022
3. Issuer Name and Ticker or Trading Symbol
Oncocyte Corp [ OCX ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
Interim CEO
5. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4) 2. Amount of Securities Beneficially Owned (Instr. 4) 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock, no par value (1) 2,308
D
 
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4) 2. Date Exercisable and Expiration Date (Month/Day/Year) 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) 4. Conversion or Exercise Price of Derivative Security 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 6. Nature of Indirect Beneficial Ownership (Instr. 5)
Date Exercisable Expiration Date Title Amount or Number of Shares
Option to Purchase Common Stock   (2) 07/22/2030 Common Stock 125,000 1.33 D  
Option to Purchase Common Stock   (2) 02/25/2031 Common Stock 50,012 5.34 D  
Option to Purchase Common Stock   (2) 03/24/2032 Common Stock 30,000 1.39 D  
Option to Purchase Common Stock   (2) 05/03/2032 Common Stock 10,000 1.17 D  
Option to Purchase Common Stock 12/07/2023 (3) 12/07/2032 Common Stock 250,000 0.4644 D  
Explanation of Responses:
1. The Restricted Stock Units vested on May 22, 2021.
2. 25% of the options will become exercisable after one year of Reporting Person's continuous employment with Issuer from the effective date of grant, and the balance will become exercisable in 36 equal monthly installments commencing one year after the date of grant subject to Reporting Person's continued employment with Issuer on the applicable vesting dates.
3. 100% of the options will become exercisable after one year of Reporting Person's continuous employment with Issuer from the effective date of grant.
/s/ Josh Riggs 12/09/2022
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.


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