Insight Molecular Diagnostics Inc. — Director's Dealing 2022

Aug 8, 2022

SEC Form 3 — Initial Statement of Beneficial Ownership

Issuer: Oncocyte Corp (OCX)
CIK: 0001642380
Period of Report: 2022-07-28

Reporting Person: Gutfreund John Peter (Director)

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock, no par value	3085047	Indirect

Holdings (Derivative)

Security	Exercise Price	Expiration	Underlying	Shares	Ownership
Series A Convertible Preferred Stock	$1.53		Common Stock (1176.48)		Direct
Warrant to Purchase Common Stock	$1.53		Common Stock (3564728)		Indirect

Footnotes

F1: The securities are held by Halle Special Situations Fund LLC. John Peter Gutfreund is the investment manager and a control person of Halle Capital Partners GP LLC, the managing member of Halle Special Situations Fund LLC. In such capacity, Mr. Gutfreund may be deemed to beneficially own these securities.

F2: The 1,176.48 shares of Series A Convertible Preferred Stock are currently convertible into 768,941 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 beneficial ownership limitation of 4.99%. 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 Preferred Shares for a cash payment calculated in accordance with the terms of the Purchase Agreement.

F3: The 3,564,728 warrants may be exercised to purchase up to 3,001,876 shares of the Common Stock at an exercise price of $1.53 per share. The warrants are currently exercisable, subject to a beneficial ownership limitation of 4.99%, and expire on April 19, 2027.